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Free compliance help available for IFAs director Joanne Roberts is launching a campaign to assist smaller IFAs with their compliance needs, ahead of their impending FSA visits.

The online IFA firm says with financial crime issues within the 11,000 small firms’ becoming more of a focus from the regulator, it feels there is a need for additional support in this area.

The free service will be available through website

Roberts says advisers need to up their game in compliance, focusing on Treating Customers Fairly.

She says: “I am an IFA and have been for nearly 20 years, as well as a compliance specialist. I am not just an unregulated compliance consultant with no concerns, I also receive calls from the FSA like any other IFA and that keeps me extremely focused.”


Mortgage adviser admits £250k fraud

A self-employed financial adv-iser has changed his plea to guilty over a series of mortgage frauds.Mohammed Khan, 46, from Knighton, Leicester, appeared before Leicester Crown Court on multiple deception and dishonesty charges. The prosecution had estimated the amount involved was over £250,000.Evidence was given that Khan had repeatedly misrepresented his financial and personal status to […]

A shaw thing

Sam Shaw is a reporter on Money MarketingHaving drawn the short straw in the office which meant that MM reporter Helen Pow attended the Brits rather than myself or Nicola York (We weren’t bitter – much),I was luckily then available to demonstrate my prowess in Riley’s poolhall in Victoria.MM news editor Paul McMillan and myself […]

Rock debacle will not stop shift to principles

The Northern Rock debacle will not deflect the FSA from its move towards more principle-based regulation.Chief executive Hector Sants told an FSA retail firms conference in London last week that firms should not divert their attention away from the conduct of business requirements and high-level principles.Sants said: “You will need to continue the focus on […]

Walking the walk

Last week saw the end of Roger Whiteoaks eight-year relationship with Axa Framlington as the much respected UK small-cap guru left the firm under the “to pursue opportunities elsewhere” banner.


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