1 - 9 of 9 articles
This paper examines the role of the Banking Ombudsman in dealing with complaints about banking services. It describes the procedures for investigating eligible complaints and considers the overlap with other Ombudsman schemes, in particular those of the Building Societies and Insurance Ombudsmen.
The issue of pension transfers, which has leapt into prominence in recent months, raises complex and novel issues, albeit in relation to alleged breaches of long established rules. A pilot study of one aspect of pension transfer sales commissioned by Securities & Investments Board SIB has...
The Securities and Investments Board SIB issued a paper addressed to selfregulating organisations in May 1994 titled Past Pension Transfers and OptOuts Model Guidance on Priority Cases and Complaints. This set out in broad terms what product providers and independent financial advisers should...
The paper outlines some examples of how firms are responding to the challenge of presenting regulation and compliance as positive and worthwhile business issues.
This paper examines what the financial services industry expects from the Insurance Ombudsman Bureau. It measures the IOB's success in meeting these expectations against the yardsticks of public confidence and costeffectiveness. In the light of Lord Ackner's recently accepted recommendation that...
The international banking and financial system is finding itself in the front line of the war being waged internationally against the money launderers. Traditional concepts of banking secrecy are being undermined as governments struggle to preserve the integrity of the banking system. The war is...
The purpose of this paper is to give readers an overview of a routine Financial Intermediaries, Managers and Brokers Regulatory Association FIMBRA compliance visit and to suggest to new members, who have yet to experience such a review, a basic philosophy that might make the pressures of...
In March 1994 the Investment Management Regulatory Organisation IMRO1 published its Regulatory Plan for 1994 95. The Plan followed six months of intensive internal review at IMRO involving the entire IMRO staff. The Plan reaffirms IMRO's fundamental purpose of investor protection, and identifies...
Although much of the debate about financial regulation tends to be focused at product, firm or market level, international trade agreements are of growing importance. This paper explains why these macro rides have come into existence and examines some of the more important at a multilateral and...
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