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| FSA | The Financial Services Authority is the UK's combined regulator for investment, securities, banking and insurance business. It assumed responsibility from its predecessors on 1 December, 2001. Internal links at the FSA site include:-
Find whether a firm is authorised at the Central Register |
| Bank of England | The central bank for the UK. The publications section has a wealth of economic and regulatory information |
| Pensions Regulator | The Pensions Regulator is responsible for securing compliance with relevant regulations in respect of Occupational Pensions |
| FSCS | The Financial Services Compensation Scheme levies the industry to pays towards the claims of depositors of banks and customers of firms that have |
| FOS
FOS/FSA | The Financial Ombudsman Service is the UK's central complaints handling bureau for financial services |
| Tribunals | Finance Tribunals for people wishing to appeal against FSA |
| FSCP | The Financial Services Consumer Panel's role is to assess the FSA's effectiveness in meeting its objectives to protect consumers' interests and promote public understanding of the financial system |
| FSPP | The Financial Services Practitioner Panel represents the industry's interests and monitors the FSA's effectiveness |
| OCC | The Office of the Complaints Commissioner investigates complaints against the FSA |
| HM Treasury | Check for recent online Consultative Documents that will impact the investment management industry |
| Takeover Panel | The Takeover Panel issues and administers the City Code on Takeovers and Mergers |
| HMRC | The UK's taxation authority drafts tax-related rules that affect investment business. The site offers useful guidance to ISA Managers including monthly ISA Bulletins. Other useful internal links include Legislation and Statutory Instruments |
| BIS | The Department for Business Innovation and Skills is the government department responsible for creating conditions for business success and innovation. Press releases are available here |
| Competition Commission | Formerly named the Monopolies and Mergers Commission, this government department is concerned with mergers, monopolies and anti-competetive practices |
| Gambling Commission | This government department regulates casinos, bingos, gaming machines lotteries and “remote gambling” under the Gambling Act 2005. Firms that offer certain derivatives such as spread betting may have to obtain a licence |
| Information Commissioner | The Office of the Information Commissioner (prior to 2/01 known as the Data Protection Commissioner) enforces the Data Protection Act 1998 and the Freedom of Information Act 2000 |
| OFT | Office of Fair Trading - this government department regulates the market for consumer credit and promotes fair competition |
| HO | The Home Office of the British Government |
| FCO | British Foreign & Commonwealth Office |
| SFO | The Serious Fraud Office takes cases over from the SROs where large scale fraud (over £1 Million) is suspected |
| SOCA | The Serious Organised Crime Agency investigates suspicious financial transactions |
| DWP | The Department for Work and Pensions is the Government department responsible for pensions legislation |
| CPS | The Crown Prosecution Service prosecutes people in England and Wales who have been charged by the police with a criminal offence |
| TLS
TLSS | The Law Society and The Law Society of Scotland are Recognised Professional Bodies (RPBs) that regulate lawyers in the UK in the conduct of Investment Business |
| LCS | The Legal Complaints Service (LCS) investigates complaints about solicitors |
| SRA | The Solicitors Regulation Authority (SRA) regulates more than 100,000 solicitors in England and Wales, as well as registered European lawyers and registered foreign lawyers |
| IBAS | How to complain about your bank - the Independent Banking Advisory Service |
| ASA | The Advertising Standards Authority - this self-regulatory organisation sets standards for advertising in the UK. Check adjudications section for specific rulings on cases and complaints. The Committee of Advertising Practice (CAP) writes and enforces the British Codes of Advertising and Sales Promotion |
| PCC | The Press Complaints Commission monitors the conduct of journalists. The PCC's self-regulatory Editors' Code of Practice covers, among other things, financial dealings by journalists who tip shares (not allowed) |
| CDP | The City Disputes Panel helps resolve disputes in the wholesale financial markets |
| ICAEW
ICAS CAI | The Institute of Chartered Accountants in England and Wales is the RPB that regulates accountants in England and Wales in the conduct of Investment Business. ICAS and CAI do the same in Scotland and Ireland respectively |
| FRC | The Financial Reporting Council makes rules about financial reporting for accountants |
| ACCA | The Association of Chartered Certified Accountants is another RPB that regulates accountants in the UK in the conduct of Investment Business |
| FAIA | Faculty and Institute of Actuaries (Actuarial Profession) is the RPB that regulates actuaries in the UK |
| TPAS | The Pensions Advisory Service handles pensions consumer issues |
| Lloyds of London | London's reinsurance market is regulated by FSA |
| Lending Standards Board | The role of the Lending Standards Board is to monitor and enforce the Lending Code and to ensure subscribers provide a fair deal to their personal and micro-enterprise borrowing customers |
| CML | The Council of Mortgage Lenders published a code of practice prior to FSA taking over mortgage regulation. CML publishes a list of members |