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Found 4 results

  1. This is a good FOI reply I found on Whatdotheyknow site; https://www.whatdotheyknow.com/request/sanctions_comprehensive_monitori#comment-57627 The FOI 108 DMA Checklist.xls file (click on 'View HTML' to see it) is particularly interesting as it contains a list of all the checks the adviser has to do if they want to raise a valid sanction doubt - there's LOTS of little things that we can catch them out on if they fail to do it Well worth printing out and keeping. Should your adviser ever try to raise a doubt you can produce it and at least make sure they go through every step wh
  2. On more than one occasion I have been lied to, deceived, misled and threatened by advisers at Jobcentre. If only I could prove it!!!!! My questions are these; 1. Is it within the law for me to record interviews with advisers at Jobcentre on a pocket recording device without notifying the adviser? 2. Would evidence of any of the above misdemeanours, or maladministration of any kind, gathered by using such a device in such a way be admissible at a hearing or tribunal?
  3. The number of complaints about advisers referred to the Financial Ombudsman Service has jumped 45 per cent over the last year from 2,857 to 4,139. The FOS’ 2012/13 annual review, published today, reveals it received a total of 508,881 new cases in the year to the end of March, up a massive 92 per cent from 264,375 cases the previous year. The FOS upheld 51 per cent of complaints against banks, compared to 70 per cent in the previous year. It upheld 42 per cent of complaints against advisers, down from 54 per cent. The FOS ‘adviser’ category excludes banks and other tied advisers, as well
  4. The Financial Conduct Authority is currently investigating 29 financial adviser firms or individuals for enforcement action ranging from fraud to misselling - although it is investigating only two mortgage brokers at present. Responding to a freedom of information request from Mortgage Strategy’s sister title Money Marketing, the FCA says there are two mortgage broker firms or individuals under investigation as of 13 May. There is also one firm under investigation that sells both mortgages and other forms of financial advice. The enforcement actions relate to financial crime, mortgage fra
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