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Tough questions loom as industry tackles “game changing” TCF

01 October 2012

The Treating Customers Fairly (TCF) regime cannot be implemented in half measures. This “game changing” regulation demands cooperation from all industry stakeholders… At this early stage there are many important questions that still need to be answered.

What you need to know about RE Level 2

02 April 2012

There is great confusion around both the intention and content of the Level 2 Regulatory Examinations (RE). To date we know that all representatives will be affected by these exams in some way. What is unclear is how?

Regulatory Examinations Before… and after

01 August 2011

Candidates writing the Regulatory Exams have a number of options available before the actual day of the examination, as well as remedies to apply after the event.

Regulatory Exams Addressing high failure rates

01 June 2011

Inadequate preparation is the main reason why many candidates are not succeeding in the Level 1 regulatory examination, placing many FSPs in jeopardy of losing their licences.

quick poll

Question

If you had to hazard a guess, when do you reckon the COFI Bill will be signed into law?

Answer

2026, as promised 2027 looks more likely Impossible to say More consultation needed

View the Results

Regulatory Exams: Conquering the RE challenge

01 April 2011

Regulation and oversight: A global perspective

01 April 2011

Treating Customers Fairly (TCF): What it means for your business

01 February 2011

The buck stops with the FSP

01 February 2010

Can regulation benefit a broker?