All FSA Publications since 01 January 2010 |
Date |
Type |
Subject |
|
|
|
05/05/2011 |
Final Notice |
Harbour House Credit Limited [pdf] |
05/05/2011 |
Speech |
BSA Annual Conference |
05/05/2011 |
Press Release |
FSA welcomes announcement of independent reviewers for RBS report |
04/05/2011 |
Speech |
The regulatory outlook for mortgage lenders |
04/05/2011 |
Handbook Notice |
Handbook Notice 109 [pdf] |
03/05/2011 |
Guidance Consultation |
Forbearance and Impairment Provisions – ‘Mortgages’ |
28/04/2011 |
Handbook Development Newsletter |
Handbook Development (Issue 134) [pdf] |
21/04/2011 |
Final Notice |
Solomon Lloyd Limited [pdf] |
21/04/2011 |
Complaint |
GE-LO1231 [pdf] |
20/04/2011 |
Guidance Consultation |
Remuneration Code (SYSC 19A) |
20/04/2011 |
Press Release |
FSA welcomes the High Court’s dismissal of the BBA’s judicial review of new PPI complaints handling measures |
19/04/2011 |
Press Release |
FSA bans four more brokers for mortgage fraud as the Tribunal dismisses broker’s appeal |
19/04/2011 |
Final Notice |
B-Assured Financial Services Limited [pdf] |
19/04/2011 |
Final Notice |
Whitehouse Estates Agents and Financial Services Ltd [pdf] |
19/04/2011 |
Final Notice |
Gemmini Mortgages Limited [pdf] |
19/04/2011 |
Final Notice |
Alistair Curren [pdf] |
19/04/2011 |
Final Notice |
Alaba Adewale Adebajo [pdf] |
19/04/2011 |
Final Notice |
Jageet Kaur [pdf] |
19/04/2011 |
Final Notice |
Joseph Chinedu Nwosu [pdf] |
18/04/2011 |
Final Notice |
Norwich and Peterborough Building Society [pdf] |
18/04/2011 |
Press Release |
FSA fines N&P £1.4 million and agrees £50 million for customers and FSCS |
18/04/2011 |
Speech |
Solvency II in context |
18/04/2011 |
Speech |
The FSA’s approach to the implementation of Solvency II |
14/04/2011 |
Final Notice |
Adrian John Bancroft [pdf] |
14/04/2011 |
Press Release |
FSA takes action against two firms of IFAs over the promotion of complex investment products |
14/04/2011 |
Final Notice |
Specialist Solutions Public Limited Company [pdf] |
13/04/2011 |
Speech |
Outlining the current and future strategy for securities markets regulation |
12/04/2011 |
Final Notice |
4Front Car Sales limited [pdf] |
11/04/2011 |
Handbook Release |
Handbook Release 112 |
06/04/2011 |
Final Notice |
Crimson Permanent Assurance Consultants Limited [pdf] |
06/04/2011 |
Final Notice |
Elaine MacCormack trading as EPM Financial Services [pdf] |
06/04/2011 |
Press Release |
FSA and HM Treasury publish joint consultation paper on covered bond regulation |
06/04/2011 |
Consultation Paper |
Quarterly consultation paper No.28 |
05/04/2011 |
Complaint |
GE-LO1226 [pdf] |
04/04/2011 |
Dear CEO Letter |
Update on transition to new regulatory structure [pdf] |
31/03/2011 |
Handbook Development Newsletter |
Handbook Development (Issue 133) |
31/03/2011 |
Consultation Paper |
Use of non-EEA rules in calculating group capital requirements |
25/03/2011 |
Policy Statement |
Auditor’s Client Assets Report |
25/03/2011 |
Press Release |
FSA confirms final rules for auditors’ client assets reports |
25/03/2011 |
Handbook Notice |
Handbook Notice 108 |
24/03/2011 |
Complaint |
GE-LO1166 [pdf] |
23/03/2011 |
Miscellaneous |
FSA Note of legal position on the rights and expectations of with-profits policyholders in mutuals – March 2011 [pdf] |
22/03/2011 |
Speech |
The Alternative Investment Fund Managers Directive � The road ahead |
22/03/2011 |
Press Release |
FSA publishes Business Plan for 2011/12 |
21/03/2011 |
Miscellaneous |
FSA statement on the alleged thefts in the emissions market [pdf] |
21/03/2011 |
Newsletter |
Market Watch Issue No.38 [pdf] |
17/03/2011 |
Press Release |
FSA publishes its Prudential Risk Outlook |
16/03/2011 |
Final Notice |
Rienzie Albert Joseph Asoka Silva [pdf] |
16/03/2011 |
Speech |
Leverage, Maturity Transformation and Financial Stability: Challenges Beyond Basel III |
16/03/2011 |
Press Release |
FSA chairman spells out regulatory challenges beyond Basel III |
15/03/2011 |
Press Release |
FSA fines ActivTrades Plc £85,750 for client money failings |
15/03/2011 |
Final Notice |
ActivTrades Plc [pdf] |
15/03/2011 |
Miscellaneous |
Report to the FSA from the Consultancy Charging Working Group [pdf] |
11/03/2011 |
Miscellaneous |
Decision by the Financial Services Authority on the application by Mr James Marchant for access to the West Bromwich Building Society’s Register of Members. [pdf] |
10/03/2011 |
Handbook Release |
Handbook Release 111 |
10/03/2011 |
Complaint |
GE-LO1215 [pdf] |
10/03/2011 |
Press Release |
FSA announces a new senior advisor |
10/03/2011 |
Press Release |
FSA and FRC publish feedback on the role of auditors |
10/03/2011 |
Feedback Statement |
Enhancing the auditor’s contribution to prudential regulation: Feedback on DP10/3 |
08/03/2011 |
Miscellaneous |
Notice of Undertaking [pdf] |
07/03/2011 |
Speech |
|
04/03/2011 |
Complaint |
GE-L01210 [pdf] |
03/03/2011 |
Miscellaneous |
Voluntary Variation of Permission for Welcome Financial Services Limited (FRN 305742) [pdf] |
02/03/2011 |
Speech |
Creating the FCA |
02/03/2011 |
Guidance Consultation |
Reverse Stress-Testing: Frequently Asked Questions |
28/02/2011 |
Handbook Development Newsletter |
Handbook Development (Issue 132) |
28/02/2011 |
Miscellaneous |
Assessing the possible sources of systemic risk from hedge funds [pdf] |
28/02/2011 |
Press Release |
FSA publishes first Retail Conduct Risk Outlook |
25/02/2011 |
Miscellaneous |
Assessing the possible sources of systemic risk from hedge funds |
25/02/2011 |
Handbook Notice |
Handbook Notice 107 [pdf] |
25/02/2011 |
Policy Statement |
Tracing employers’ liability insurers |
25/02/2011 |
Policy Statement |
Decision Procedure and Penalties manual and Enforcement Guide review |
24/02/2011 |
Press Release |
FSA consults on improving protection for with-profits policyholders |
24/02/2011 |
Consultation Paper |
Protecting with-profits policyholders |
22/02/2011 |
Final Notice |
David Carter [pdf] |
22/02/2011 |
Press Release |
FSA fines DB Mortgages for irresponsible lending and poor treatment of customers in arrears |
22/02/2011 |
Miscellaneous |
LBG – Bank of Scotland plc – VVOP [pdf] |
21/02/2011 |
Final Notice |
David Massey [pdf] |
18/02/2011 |
Speech |
Reforming finance: are we being radical enough? |
16/02/2011 |
Final Notice |
Olalekan Charles Onamusi [pdf] |
16/02/2011 |
Final Notice |
Pinnacle Asset Management Limited [pdf] |
16/02/2011 |
Final Notice |
Michael Beverley [pdf] |
16/02/2011 |
Miscellaneous |
Guidance Note No.11 – Enhancing frameworks in the standardised approach to operational risk |
16/02/2011 |
Miscellaneous |
Hector Sants letter to Andrew Tyrie re: Remuneration [pdf] |
16/02/2011 |
Press Release |
Pension switching firms in Barnsley and Milton Keynes fined by the FSA |
16/02/2011 |
Final Notice |
Mr Mark Anthony Kelsey [pdf] |
16/02/2011 |
Final Notice |
Mr Jeremy Nicholas Sheard [pdf] |
16/02/2011 |
Final Notice |
Cricket Hill Financial Planning Limited [pdf] |
15/02/2011 |
Newsletter |
Life Insurance Newsletter – Issue 4 [pdf] |
15/02/2011 |
Newsletter |
General Insurance Newsletter – Issue 4 [pdf] |
15/02/2011 |
Guidance Consultation |
Proposed Dear CEO letter on “Adequacy of Year-end Reserving” |
15/02/2011 |
Handbook Release |
Handbook Release 110 |
14/02/2011 |
Guidance Consultation |
Pension obligation risk and ICAS / ICAAP |
11/02/2011 |
Final Notice |
AMG Business Solutions Limited [pdf] |
11/02/2011 |
Final Notice |
AF Directions Limited [pdf] |
11/02/2011 |
Final Notice |
Active Mortgage Solutions (UK) Limited [pdf] |
10/02/2011 |
Policy Statement |
PS11/02: Implementation of the 2nd Electronic Money Directive |
10/02/2011 |
Press Release |
FSA and Bank of England announce new draft code of practice for auditors and supervisors |
10/02/2011 |
Guidance Consultation |
Code of Practice for the relationship between the external auditor and the supervisor (‘the Code’) |
10/02/2011 |
Consultation Paper |
The Client Money and Asset Return (CMAR): Operational Implementation |
09/02/2011 |
Speech |
The future of insurance regulation |
09/02/2011 |
Final Notice |
Daniel Hassell – Final Notice |
09/02/2011 |
Press Release |
Former City worker banned for performing a significant influence function without FSA approval |
09/02/2011 |
Newsletter |
Retail Distribution Review (RDR) Newsletter [pdf] |
08/02/2011 |
Dear CEO Letter |
Transition to new regulatory structure [pdf] |
07/02/2011 |
Handbook Release |
Handbook Release 109 |
07/02/2011 |
Press Release |
FSA bans and fines corporate finance advisor £150,000 for market abuse |
02/02/2011 |
Press Release |
FSA appoints Martin Wheatley as managing director, consumer and markets business unit |
02/02/2011 |
Consultation Paper |
Product disclosure: Retail investments – changes to reflect RDR Adviser Charging and to improve pension scheme disclosure |
02/02/2011 |
Press Release |
Management consultant appears in Court charged with insider dealing |
02/02/2011 |
Press Release |
Investment banker, his wife and family friend sentenced for insider dealing |
02/02/2011 |
Guidance Consultation |
Retail Firms Division, Governance Breakfasts – Feedback Letter |
01/02/2011 |
Press Release |
FSA announces annual funding requirement for 2011/12 |
01/02/2011 |
Consultation Paper |
Regulatory fees and levies: – Rates proposals 2011/12 |
28/01/2011 |
Press Release |
Francois de Dietrich sentenced to 18 months imprisonment for failure to comply with Court Order and to cooperate with FSA investigation |
28/01/2011 |
Handbook Development Newsletter |
Handbook Development (Issue 131) |
26/01/2011 |
Press Release |
JJB Sports PLC fined £455,000 for failing to disclose information to the market |
26/01/2011 |
Final Notice |
JJB Sports plc [pdf] |
26/01/2011 |
Press Release |
FSA levies £1.12m fine on Barclays Capital for client money breaches |
26/01/2011 |
Final Notice |
Barclays Capital Securities Limited (Barclays Capital or the Firm) [pdf] |
25/01/2011 |
Speech |
Product intervention and European Union engagement: two key strands of our consumer protection strategy |
25/01/2011 |
Press Release |
FSA confirms transfer of business of Kent Reliance Building Society to OneSavings plc |
25/01/2011 |
Miscellaneous |
Decision by the Financial Services Authority on the application of Kent Reliance Building Society for confirmation of a transfer of business to OneSavings plc [pdf] |
25/01/2011 |
Press Release |
FSA bans five individuals and fines one, bringing the total number of mortgage intermediary prohibitions to 101 |
25/01/2011 |
Press Release |
FSA opens public debate on product intervention |
25/01/2011 |
Final Notice |
Adeola Adeosun [pdf] |
25/01/2011 |
Final Notice |
Daniel Djaba [pdf] |
25/01/2011 |
Press Release |
FSA opens public debate on product intervention |
25/01/2011 |
Discussion Paper |
Product Intervention |
24/01/2011 |
Final Notice |
Mark Thorogood [pdf] |
24/01/2011 |
Final Notice |
Darren Button [pdf] |
21/01/2011 |
Complaint |
GE-L01213 [pdf] |
21/01/2011 |
Complaint |
GE-L01209 [pdf] |
21/01/2011 |
Press Release |
Former senior manager sentenced to 27 months in prison for insider dealing and money laundering |
20/01/2011 |
Guidance Consultation |
Financial Promotions – Advertising ISAs & Adverts for Investment Professionals |
20/01/2011 |
Handbook Notice |
Handbook Notice 106 [pdf] |
20/01/2011 |
Press Release |
FSA fines spread bet broker £490,000 for transaction reporting failures |
20/01/2011 |
Policy Statement |
Distribution of retail investments: Delivering the RDR – professionalism |
20/01/2011 |
Final Notice |
City Index Limited [pdf] |
20/01/2011 |
Press Release |
FSA confirms professional standards for investment advisers from 2013 |
19/01/2011 |
Press Release |
FSA fines and bans two partners of Clark Rees LLP £28,000 for advice failings in relation to Unregulated Collective Investment Schemes (UCIS) |
19/01/2011 |
Final Notice |
Ceri Rees [pdf] |
19/01/2011 |
Final Notice |
Paul Clark [pdf] |
19/01/2011 |
Final Notice |
Clark Rees LLP [pdf] |
18/01/2011 |
Dear CEO Letter |
Dear CEO letter on senior Asset and Liability Management committee practices [pdf] |
18/01/2011 |
Final Notice |
Barclays Bank Plc (Barclays or the firm) [pdf] |
18/01/2011 |
Press Release |
FSA fines Barclays £7.7 million for investment advice failings and secures as much as £60 million in redress for customers |
17/01/2011 |
Dear CEO Letter |
Asset and Liability Management |
17/01/2011 |
Press Release |
FSA and FRC extend co-operation and information exchange on audit issues |
14/01/2011 |
Speech |
The retail investment market : the RDR and beyond |
13/01/2011 |
Speech |
Creating a sustainable mortgage market for lenders, brokers and borrowers |
13/01/2011 |
Guidance Consultation |
Financial Promotions |
13/01/2011 |
Press Release |
Former analyst fined £50,000 for disclosing misleading information |
12/01/2011 |
Final Notice |
Mr Christopher William Gower [pdf] |
11/01/2011 |
Newsletter |
Smaller Wholesale Insurance Intermediaries Newsletter – Issue 4 [pdf] |
11/01/2011 |
Final Notice |
Royal Bank of Scotland Plc and National Westminster Bank Plc [pdf] |
11/01/2011 |
Press Release |
FSA fines RBS and NatWest £2.8m for poor complaint handling |
10/01/2011 |
Final Notice |
Executive Mortgage Services Limited [pdf] |
10/01/2011 |
Press Release |
Investment banker, his wife and family friend plead guilty to insider dealing |
10/01/2011 |
Final Notice |
Akhlaq Hussain trading as Merlin Finance (MK) [pdf] |
10/01/2011 |
Final Notice |
Matt Stevens [pdf] |
06/01/2011 |
Guidance Consultation |
Proposed guidance on Assessing Suitability: Establishing the risk a customer is willing and able to take and making a suitable investment selection |
06/01/2011 |
Final Notice |
Barry Williams [pdf] |
06/01/2011 |
Consultation Paper |
Quarterly consultation paper No.27 |
06/01/2011 |
Press Release |
Director fined and banned over £2 million insurance fraud |
05/01/2011 |
Final Notice |
Fleet Insurance Solutions Limited [pdf] |
05/01/2011 |
Final Notice |
A J Wiggins Limited [pdf] |
23/12/2010 |
Miscellaneous |
Senior Supervisors Group – Press release [pdf] |
23/12/2010 |
Miscellaneous |
Senior Supervisors Group: Observations on Developments in Risk [pdf] |
23/12/2010 |
Final Notice |
Neill Connolly [pdf] |
23/12/2010 |
Final Notice |
Texscope Development Limited [pdf] |
23/12/2010 |
Final Notice |
The Mortgage Company (1992) Limited |
23/12/2010 |
Final Notice |
Carol Lawson trading as St Johns Mortgages |
23/12/2010 |
Press Release |
Kent Reliance Building Society and OneSavings plc: Confirmation Hearing Details |
22/12/2010 |
Final Notice |
Hemdale Financial Management Limited [pdf] |
22/12/2010 |
Handbook Development Newsletter |
Handbook Development (Issue 130) [pdf] |
22/12/2010 |
Press Release |
FSA and HM Treasury publish joint consultation paper on implementation of the UCITS IV Directive |
22/12/2010 |
Final Notice |
Intethic Limited [pdf] |
17/12/2010 |
Press Release |
New deposit guarantee limit to be £85,000 |
17/12/2010 |
Press Release |
FSA publishes revised Remuneration Code |
17/12/2010 |
Policy Statement |
Implementing CRD requirements on the disclosure of remuneration – feedback on CP10/27 and final rules |
17/12/2010 |
Policy Statement |
Revising the Remuneration Code – Feedback on Feedback on CP10/19 and final rules |
17/12/2010 |
Policy Statement |
Strengthening Capital Standards 3 – Feedback and final rules for CP10/17 (chapters 11-13) and CP10/22 (chapter 3) |
17/12/2010 |
Handbook Notice |
Handbook Notice 105 [pdf] |
17/12/2010 |
Policy Statement |
Feedback to CP10/12 Competence and ethics and final rules |
17/12/2010 |
Press Release |
FSA confirms changes to the existing training and competence regime |
16/12/2010 |
Press Release |
FSA fines Scottish Equitable Plc £2.8m and announces redress of £60m for customers |
16/12/2010 |
Press Release |
Managing director banned and fined £750,000 for mismarking |
16/12/2010 |
Final Notice |
Scottish Equitable PLC [pdf] |
15/12/2010 |
Miscellaneous |
Product Control Findings and Prudent Valuation. A presentation by Ragveer Brar, Manager of the FSA’s Valuations and Product Control Team. [pdf] |
15/12/2010 |
Newsletter |
Mortgage lenders’ Round-up – Issue 7 [pdf] |
15/12/2010 |
Final Notice |
Vijay Kumar Sharma [pdf] |
15/12/2010 |
Miscellaneous |
Letter to Chair, Treasury Committee from Adair Turner [pdf] |
15/12/2010 |
Complaint |
CC Report-GEL01181 [pdf] |
15/12/2010 |
Press Release |
Chartered accountants fined and banned for assisting multi-million pound boiler room share scam |
15/12/2010 |
Miscellaneous |
Letter to Treasury Select Committee [pdf] |
15/12/2010 |
Statement |
Letter to Treasury Select Committee |
14/12/2010 |
Speech |
Unregulated Collective Investment Scheme (UCIS) |
14/12/2010 |
Press Release |
FSA fines and bans former stockbrokers for market abuse |
14/12/2010 |
Final Notice |
William Coppin [pdf] |
14/12/2010 |
Final Notice |
Perry Bliss [pdf] |
13/12/2010 |
Final Notice |
Nabeel Naqui [pdf] |
13/12/2010 |
Final Notice |
Sedley Richard Laurence Voulters [pdf] |
13/12/2010 |
Final Notice |
Laurence Warren Finger [pdf] |
13/12/2010 |
Final Notice |
Paolo Maranzana [pdf] |
13/12/2010 |
Handbook Release |
Handbook Release 108 |
13/12/2010 |
Press Release |
FSA Chief Executive outlines progress in reforming supervisory practices |
13/12/2010 |
Speech |
Reforming Supervisory Practices: Progress to Date |
10/12/2010 |
Final Notice |
Abbey Brokers Limited (In Liquidation) [pdf] |
09/12/2010 |
Final Notice |
Tarlochan Singh t/a Oceans Mortgages [pdf] |
09/12/2010 |
Application Refusals |
Tarlochan Singh t/a Oceans Mortgages [pdf] |
09/12/2010 |
Press Release |
FSA secures winding-up orders against two unauthorised firms operating a bio-fuels collective investment scheme |
08/12/2010 |
Final Notice |
Jared Michael O Loughnane [pdf] |
08/12/2010 |
Miscellaneous |
Article by Lord Turner: Blame, risk and return, and management responsibility |
07/12/2010 |
Speech |
Client Asset briefing – Opening address |
07/12/2010 |
Speech |
Client Asset Briefing – CASS supervision |
07/12/2010 |
Speech |
Client Asset Briefing – Regulatory priorities |
07/12/2010 |
Guidance Consultation |
Proposed Dear CEO letter on review of implementation of systems and controls requirements in liquidity regime |
07/12/2010 |
Press Release |
FSA contacts 49,000 people to warn them they could be targets of boiler room share fraudsters |
06/12/2010 |
Miscellaneous |
Analysis of activity in the energy markets 2010 [pdf] |
06/12/2010 |
Press Release |
FSA bans Graham Betton for market abuse |
06/12/2010 |
Guidance Consultation |
Proposed guidance on Survey Report of Derivative Risk Management Practices |
06/12/2010 |
Press Release |
FSA announces appointment of two senior advisors |
02/12/2010 |
Handbook Development Newsletter |
Handbook Development (Issue 129) |
02/12/2010 |
Statement |
FSA closes supervisory investigation of RBS |
01/12/2010 |
Handbook Release |
Handbook Release 107 |
01/12/2010 |
Final Notice |
Ian Barber trading as PDS Financial Services [pdf] |
01/12/2010 |
Press Release |
FSA, SEC and DoJ investigation leads to two people being charged by the SEC with insider dealing in the U.S. |
30/11/2010 |
Guidance Consultation |
Dear CEO letter on senior Asset and Liability Management committee practices |
30/11/2010 |
Miscellaneous |
Oral disclosure in sales of non-investment insurance: protection products [pdf] |
29/11/2010 |
Supervisory Notice |
South Kintyre Credit Union Limited [pdf] |
29/11/2010 |
Final Notice |
Waheed Hanif [pdf] |
26/11/2010 |
Press Release |
Senior manager found guilty of insider dealing and money laundering |
26/11/2010 |
Press Release |
FSA commences action against firms offering unauthorised satellite television warranties |
25/11/2010 |
Final Notice |
Ascension Securities Limited (In Liquidation) [pdf] |
25/11/2010 |
Speech |
Evolving market structures and the focus on speed – how regulators should try to keep pace |
25/11/2010 |
Press Release |
Five charged with insider dealing |
24/11/2010 |
Speech |
Retail Banking: Getting the Right Framework and Regulatory Regime |
23/11/2010 |
Supervisory Notice |
The Clarkson Hill Group Plc [pdf] |
23/11/2010 |
Statement |
FSA announces Dan Waters to leave organisation |
18/11/2010 |
Speech |
MMR: Dispelling the myths |
18/11/2010 |
Statement |
Liquidity calibration statement |
17/11/2010 |
Press Release |
FSA publishes platform proposals |
17/11/2010 |
Consultation Paper |
Platforms: Delivering the RDR and other issues for platforms and nominee-related services |
16/11/2010 |
Final Notice |
David Morgan Hilling trading as David Morgan Finance [pdf] |
16/11/2010 |
Press Release |
FSA recommends changes to mortgage sales to achieve a sustainable mortgage market |
16/11/2010 |
Consultation Paper |
Mortgage Market Review: Distribution & Disclosure |
15/11/2010 |
Press Release |
FSA and SEC hold Strategic Dialogue meeting |
15/11/2010 |
Final Notice |
Timothy Claydon [pdf] |
12/11/2010 |
Handbook Notice |
Handbook Notice 104 [pdf] |
11/11/2010 |
Speech |
FSA Mortgage Market Review: What it means for intermediaries |
11/11/2010 |
Policy Statement |
Taping of mobile phones – Feedback on CP10/7 and final rules [pdf] |
10/11/2010 |
Speech |
The Insurance Intermediary market – The Regulator’s View |
10/11/2010 |
Speech |
Regulating the Motor Market |
10/11/2010 |
Press Release |
FSA consults on remuneration disclosure requirements |
10/11/2010 |
Consultation Paper |
Implementing CRD3 requirements on the disclosure of remuneration |
09/11/2010 |
Guidance Consultation |
Proposed guidance on the Individual Liquidity Systems Assessment (ILSA) Submission Information document |
09/11/2010 |
Press Release |
FSA Know Your Rights booklet published today |
09/11/2010 |
Press Release |
FSA consults on changes to its handbook following government reforms to workplace pension schemes |
09/11/2010 |
Consultation Paper |
Pension reform – Conduct of business changes |
09/11/2010 |
Complaint |
CC Report GE-L01184 [pdf] |
08/11/2010 |
Guidance Consultation |
Guidance on Transaction Reporting of Chi-X Centrally Cleared CFDs |
04/11/2010 |
Speech |
Marketforce and Institute of Economic Affair’s |
04/11/2010 |
Handbook Development Newsletter |
Handbook Development (Issue 128) |
04/11/2010 |
Press Release |
FSA fines mortgage lender and its director for irresponsible lending and unfair treatment of customers in arrears |
02/11/2010 |
Press Release |
FSA insider dealing investigation: search warrants executed in the UK and Germany and two arrested |
01/11/2010 |
Newsletter |
General Insurance Newsletter [pdf] |
01/11/2010 |
Newsletter |
Life Insurance Newsletter [pdf] |
29/10/2010 |
Consultation Paper |
Implementation of the second Electronic Money Directive: supplement to HM Treasury’s consultation |
29/10/2010 |
Final Notice |
Andre Jean Scerri [pdf] |
27/10/2010 |
Speech |
Address to the IAIS Annual Conference |
26/10/2010 |
Consultation Paper |
Regulatory fees and levies – policy proposals for 2011/12 |
25/10/2010 |
Guidance Consultation |
Enhancing Frameworks in the standardised approach (TSA) to operational risk |
21/10/2010 |
Speech |
Implementing the RDR towards 2013 |
21/10/2010 |
Miscellaneous |
The FSA’s International Agenda [pdf] |
20/10/2010 |
Speech |
The future landscape for mortgage regulation |
20/10/2010 |
Policy Statement |
Client Assets Sourcebook (Enhancements) Instrument 2010 Feedback on CP10/9 and made rules |
20/10/2010 |
Press Release |
FSA wins market abuse case in the Tribunal |
19/10/2010 |
Speech |
A strategic assessment of the FSA’s future approach to the regulation of Mutuals |
19/10/2010 |
Final Notice |
Ferryman Underwriting Agency Limited [pdf] |
15/10/2010 |
Newsletter |
LIST! – Issue No. 26 [pdf] |
15/10/2010 |
Handbook Release |
Handbook Release 106 |
15/10/2010 |
Guidance Consultation |
Internal ratings-based probability of default models for income-producing real estate portfolios |
14/10/2010 |
Complaint |
CC Report GE-L01125 [pdf] |
14/10/2010 |
Final Notice |
Media & Entertainment Insurance Services Limited [pdf] |
14/10/2010 |
Final Notice |
Paul David Cable [pdf] |
14/10/2010 |
Press Release |
FSA bans entertainment insurance broker for attempting to overcharge a client |
14/10/2010 |
Consultation Paper |
Decision Procedure and Penalties manual and Enforcement Guide review 2010 |
12/10/2010 |
Speech |
The approved persons regime – Significant Influence Function Review in the United Kingdom |
12/10/2010 |
Press Release |
FSA granted new consumer redress power |
12/10/2010 |
Guidance Consultation |
Proposed guidance on our BIPRU 12 liquidity regime and non-ILAS BIPRU firms. |
12/10/2010 |
Miscellaneous |
The FSA’s financial stability strategy [pdf] |
12/10/2010 |
Press Release |
FSA bans three fraudulent mortgage brokers and imposes fines totalling more than £400,000 |
08/10/2010 |
Supervisory Notice |
Tower View Community Credit Union Limited [pdf] |
08/10/2010 |
Press Release |
FSA to contest the BBA’s judicial review of new PPI complaints handling measures |
07/10/2010 |
Supervisory Notice |
Three Bees Credit Union Limited [pdf] |
07/10/2010 |
Final Notice |
Templedale Limited [pdf] |
06/10/2010 |
Consultation Paper |
Quarterly consultation No.26 |
05/10/2010 |
Final Notice |
Affordable Mortgages Limited [pdf] |
04/10/2010 |
Speech |
Can culture be regulated? |
04/10/2010 |
Press Release |
FSA chief addresses the role that culture and ethics play in shaping behaviour and judgements |
01/10/2010 |
Final Notice |
Waqarul Hassan Shah [pdf] |
30/09/2010 |
Newsletter |
Smaller Wholesale Insurance Intermediaires Newsletter – Issue 3 [pdf] |
30/09/2010 |
Final Notice |
S W Technologies Limited [pdf] |
30/09/2010 |
Consultation Paper |
Consumer complaints: The ombudsman award limit and changes to complaints-handling rules |
30/09/2010 |
Press Release |
FSA pushes for further improvements in firms’ complaints handling standards |
29/09/2010 |
Supervisory Notice |
Hemdale Financial Management Limited [pdf] |
29/09/2010 |
Press Release |
FSA bans partner at First Colonial Investments LLP for governance failings |
28/09/2010 |
Dear CEO Letter |
Mutual insurers operating with-profits funds [pdf] |
28/09/2010 |
Speech |
Successful regulatory reform |
28/09/2010 |
Press Release |
Broker banned and fined £252,239 for payment of cash kickbacks |
27/09/2010 |
Final Notice |
A2b Commercial Insurance Services Limited [pdf] |
27/09/2010 |
Final Notice |
Right Deal Insurance Services Limited [pdf] |
27/09/2010 |
Final Notice |
Fabio Massimo De Biase [pdf] |
27/09/2010 |
Final Notice |
Hygeia Mortgages & Finance Limited [pdf] |
27/09/2010 |
Press Release |
Mortgage broker’s permission cancelled and individual fined for failing to be open with the FSA |
27/09/2010 |
Press Release |
FSA consults on improving auditors’ reports on client assets |
27/09/2010 |
Consultation Paper |
CP10/20 Improving the auditor’s report on client assets |
24/09/2010 |
Handbook Notice |
Handbook Notice 103 [pdf] |
24/09/2010 |
Policy Statement |
Effective corporate governance – Significant influence controlled functions and the Walker Review |
24/09/2010 |
Policy Statement |
Capital planning buffers – Feedback on CP09/30 and final rules |
24/09/2010 |
Handbook Development Newsletter |
Handbook Development (Issue 127) [pdf] |
24/09/2010 |
Policy Statement |
Pure protection sales by retail investment firms: remuneration transparency and the COBS/ICOBS election – Feedback on CP10/8 and final rules |
23/09/2010 |
Speech |
Remuneration: Tailoring the European Regulatory Regime to the Alternative Investments Industry |
23/09/2010 |
Final Notice |
Biovic Atlantic Limited [pdf] |
23/09/2010 |
Newsletter |
Market Watch Issue No.37 [pdf] |
22/09/2010 |
Final Notice |
Thorntons Law LLP [pdf] |
22/09/2010 |
Final Notice |
Michael Royden [pdf] |
22/09/2010 |
Press Release |
FSA hands out three fines for failings related to Lehman-backed structured product sales |
21/09/2010 |
Final Notice |
Richard James Prudence [pdf] |
21/09/2010 |
Press Release |
FSA Chairman welcomes the decisions reached on the Basel III package of capital and liquidity reforms |
21/09/2010 |
Speech |
Mansion House Speech |
21/09/2010 |
Final Notice |
Peter Richard Osborne [pdf] |
20/09/2010 |
Final Notice |
Mark John Bates [pdf] |
20/09/2010 |
Final Notice |
Alan Stuart Hill [pdf] |
20/09/2010 |
Final Notice |
IC2 Capital LLP [pdf] |
20/09/2010 |
Press Release |
FSA and FINRA sign cooperation agreement |
20/09/2010 |
Press Release |
FSA announces CFEB Chairman |
16/09/2010 |
Supervisory Notice |
Ian Barber trading as PDS Financial Services [pdf] |
16/09/2010 |
Final Notice |
Sally Whitaker trading as Rock Pool [pdf] |
16/09/2010 |
Final Notice |
John Metcalfe [pdf] |
16/09/2010 |
Final Notice |
Gorton Insurance Bureau Limited |
16/09/2010 |
Final Notice |
Capital Solutions (S&J) Limited [pdf] |
16/09/2010 |
Final Notice |
BAJ Building Services Limited [pdf] |
15/09/2010 |
Final Notice |
Mr Robert Peter Yarr [pdf] |
14/09/2010 |
Speech |
A Cure for Crises: Work in Progress |
13/09/2010 |
Feedback Statement |
Enhancing financial reporting disclosures by UK credit institutions: Feedback on DP09/5 |
10/09/2010 |
Final Notice |
Resolution/Friends Provident/ AXA UK [pdf] |
10/09/2010 |
Press Release |
Man arrested in FSA insider dealing investigation |
09/09/2010 |
Supervisory Notice |
David Morgan Hilling trading as David Morgan Finance [pdf] |
09/09/2010 |
Handbook Release |
Handbook Release 105 |
09/09/2010 |
Final Notice |
Forsure Mortgage Consultants [pdf] |
09/09/2010 |
Press Release |
FSA fines Goldman Sachs International £17.5 million for weaknesses in controls resulting in failure to provide FSA with appropriate information |
09/09/2010 |
Final Notice |
Goldman Sachs International [pdf] |
08/09/2010 |
Statement |
Statement about Anglo Irish Bank |
07/09/2010 |
Press Release |
FSA Board appointment |
06/09/2010 |
Speech |
The road to better resolution: From bail-out to bail-in |
06/09/2010 |
Newsletter |
Market Watch Issue No.36 [pdf] |
02/09/2010 |
Press Release |
FSA bans insurance broker David Marriott for persistent misuse of client money |
02/09/2010 |
Final Notice |
David John Marriott [pdf] |
02/09/2010 |
Press Release |
FSA fines Moneywise IFA Limited for advice failings in relation to platforms |
01/09/2010 |
Speech |
The future of the life insurance industry – a regulator’s perspective |
01/09/2010 |
Final Notice |
Moneywise IFA Limited [pdf] |
01/09/2010 |
Final Notice |
Bullhorn Limited [pdf] |
31/08/2010 |
Handbook Development Newsletter |
Handbook Development (Issue 126) [pdf] |
31/08/2010 |
Press Release |
Action taken against two brokers for mortgage fraud failings |
25/08/2010 |
Press Release |
FSA outlines a fundamental review of trading activity regulation |
25/08/2010 |
Discussion Paper |
The prudential regime for trading activities – a fundamental review |
25/08/2010 |
Press Release |
FSA fines Societe Generale £1.575 million for failures in transaction reporting |
25/08/2010 |
Final Notice |
Societe Generale [pdf] |
24/08/2010 |
Press Release |
FSA fines Zurich Insurance £2,275,000 following the loss of 46,000 policy holders� personal details |
20/08/2010 |
Final Notice |
Abraham Olorunshola trading as Canaan Properties Estate Agents [pdf] |
19/08/2010 |
Final Notice |
Ngozika Louise Ogboru [pdf] |
19/08/2010 |
Final Notice |
Zurich Insurance Plc, UK branch [pdf] |
18/08/2010 |
Final Notice |
Paramjit Sohanpaul trading as Chase Symmons Financial Management [pdf] |
18/08/2010 |
Final Notice |
Phoenix Insurance Limited [pdf] |
18/08/2010 |
Handbook Release |
Handbook Release 104 |
18/08/2010 |
Final Notice |
Soner Enver trading as Premier Mortgages Direct [pdf] |
17/08/2010 |
Press Release |
FSA gets tough on insurance fraud with bans for four individuals |
16/08/2010 |
Final Notice |
Daniel Amos [pdf] |
16/08/2010 |
Final Notice |
Akinfenwa Oyadare trading as The Flexi Mortgage and Loan Centre [pdf] |
13/08/2010 |
Complaint |
CC Report GE-L01147 [pdf] |
13/08/2010 |
Complaint |
CC Report GE-L01140 [pdf] |
10/08/2010 |
Policy Statement |
The assessment and redress of Payment Protection Insurance complaints |
10/08/2010 |
Press Release |
FSA confirms measures to reform PPI market and protect consumers |
03/08/2010 |
Supervisory Notice |
Landsker Community Credit Union Limited [pdf] |
03/08/2010 |
Final Notice |
Paul Simon Willment [pdf] |
03/08/2010 |
Newsletter |
Mortgage lenders’ Round-up – Issue 6 [pdf] |
03/08/2010 |
Press Release |
FSA confirms Stroud & Swindon Building Society merger with the Coventry Building Society |
03/08/2010 |
Miscellaneous |
Decision by the Financial Services Authority on the Applications of Stroud & Swindon Building Society and Coventry Building Society for Confirmation of a Transfer of Engagements under Section 95 of the Building Societies Act 1986 [pdf] |
03/08/2010 |
Press Release |
FSA fines Royal Bank of Scotland Group £5.6m for UK sanctions controls failings |
02/08/2010 |
Final Notice |
Decision notice: Royal Bank of Scotland Group [pdf] |
30/07/2010 |
Press Release |
FSA censures The Garrison Finance Centre Limited for geared traded endowment policies advice failings |
29/07/2010 |
Final Notice |
Turnbull Underwood Associates Mortgage Solutions [pdf] |
29/07/2010 |
Press Release |
FSA consults on changes to its Remuneration Code |
29/07/2010 |
Consultation Paper |
Revising the Remuneration Code |
28/07/2010 |
Final Notice |
David Roberts [pdf] |
28/07/2010 |
Miscellaneous |
Assessing possible sources of systemic risk from hedge funds [pdf] |
28/07/2010 |
Final Notice |
Matrix Intermediary Mortgage Services Limited [pdf] |
28/07/2010 |
Press Release |
FSA censures and bans three directors from acting as senior managers for falling short of FSA standards |
28/07/2010 |
Final Notice |
Simply Trading Group Limited [pdf] |
28/07/2010 |
Final Notice |
Michael Kwesi Yamoah [pdf] |
28/07/2010 |
Final Notice |
Luke Michael Ryan [pdf] |
28/07/2010 |
Final Notice |
Stephen John Coles [pdf] |
28/07/2010 |
Newsletter |
Life Insurance Newsletter [pdf] |
28/07/2010 |
Newsletter |
General Insurance Newsletter [pdf] |
27/07/2010 |
Supervisory Notice |
Abbey Brokers Limited [pdf] |
27/07/2010 |
Final Notice |
Ronald Alan Winton [pdf] |
27/07/2010 |
Final Notice |
Mortgage Healthcare Limited [pdf] |
27/07/2010 |
Press Release |
FSA bans and fines former Northern Rock finance director £320,000 for misreporting mortgage arrears figures |
27/07/2010 |
Final Notice |
Mr David Andrew Jones [pdf] |
23/07/2010 |
Press Release |
FSA statement on the publication of CEBS stress tests |
23/07/2010 |
Press Release |
FSA announces tougher prudential standards for credit unions |
23/07/2010 |
Policy Statement |
A review of the Credit Union Sourcebook (CRED) |
23/07/2010 |
Consultation Paper |
CP10/17: Strengthening Capital Standards 3 – feedback to CP09/29, final rules for CRD2, and further consultation |
23/07/2010 |
Consultation Paper |
CP10/18: Implementing aspects of the Financial Services Act 2010 |
23/07/2010 |
Press Release |
FSA implements new powers granted by Financial Services Act 2010 |
23/07/2010 |
Handbook Development Newsletter |
Handbook Development (Issue 125) [pdf] |
23/07/2010 |
Handbook Notice |
Handbook Notice 102 [pdf] |
22/07/2010 |
Final Notice |
Stanley Brown trading as Stanley Brown Insurance Services [pdf] |
20/07/2010 |
Supervisory Notice |
Landsbanki Islands hf [pdf] |
20/07/2010 |
Press Release |
FSA secures £3.7 million compensation for victims of Upton & Co unauthorised collective investment scheme |
19/07/2010 |
Miscellaneous |
Legal Expenses Insurance – letter to firms [pdf] |
19/07/2010 |
Press Release |
FSA fines father and son for market abuse |
19/07/2010 |
Final Notice |
Jeremy Burley |
19/07/2010 |
Final Notice |
Mr Jeffery Burley [pdf] |
15/07/2010 |
Final Notice |
Andrew Brace trading as Andrew Brace Financial Services [pdf] |
15/07/2010 |
Final Notice |
Tasos Lambrou trading as Tudor Mortgages [pdf] |
15/07/2010 |
Press Release |
Redstone Mortgages Limited fined £630,000 for unfair treatment of some customers in arrears |
14/07/2010 |
Speech |
The future of finance |
14/07/2010 |
Final Notice |
Scott Robert Merrell [pdf] |
14/07/2010 |
Handbook Release |
Handbook Release 103 |
13/07/2010 |
Press Release |
FSA Chairman calls for debate |
13/07/2010 |
Speech |
Protecting Consumers and Winning Trust |
13/07/2010 |
Press Release |
FSA moves to make sure all borrowers with a new mortgage can afford it |
13/07/2010 |
Consultation Paper |
Mortgage Market Review: Responsible Lending |
12/07/2010 |
Final Notice |
Redstone Mortgages Limited [pdf] |
12/07/2010 |
Newsletter |
Market Watch Issue No.35 [pdf] |
09/07/2010 |
Final Notice |
David Richard Head [pdf] |
09/07/2010 |
Press Release |
FSA fines network director for putting customers at risk of receiving unsuitable advice on PPI |
08/07/2010 |
Newsletter |
Financial Crime Newsletter – Issue 14 [pdf] |
08/07/2010 |
Press Release |
FSA fines Gateshead IFA £21,000 for pension switching advice failings |
08/07/2010 |
Press Release |
FSA bans three insurance professionals for a £2 million fraud |
07/07/2010 |
Press Release |
FSA fines three partners at Sheffield mortgage broker for systems and controls failures |
06/07/2010 |
Press Release |
FSA fines former CEO of Sibir £350,000 for market abuse |
06/07/2010 |
Consultation Paper |
Quarterly consultation No.25 |
06/07/2010 |
Final Notice |
Henry Ogilvy Cameron [pdf] |
05/07/2010 |
Press Release |
Five banned, and one fined £130,000 and banned, as FSA continues crack down on mortgage fraud |
02/07/2010 |
Final Notice |
Timothy Patrick Higgins [pdf] |
02/07/2010 |
Final Notice |
Clifford Felstead [pdf] |
02/07/2010 |
Final Notice |
Ralph Stephen Brunswick [pdf] |
02/07/2010 |
Final Notice |
John Cyril Owens trading as Sinclair Consultancy [pdf] |
02/07/2010 |
Final Notice |
Jahan and Associates Limited [pdf] |
02/07/2010 |
Final Notice |
Fazal Mian trading as Zoe Mortgages [pdf] |
01/07/2010 |
Statement |
FSA announces Mark Norris is to leave organisation |
01/07/2010 |
Feedback Statement |
Summary of feedback to the Turner Review Conference Discussion Paper (DP09/4) |
30/06/2010 |
Supervisory Notice |
Three Bees Credit Union Limited [pdf] |
30/06/2010 |
Supervisory Notice |
Hackney Credit Union Limited [pdf] |
30/06/2010 |
Newsletter |
Smaller Wholesale Intermediaries Newsletter – Issue 2 [pdf] |
30/06/2010 |
Miscellaneous |
Insurance: Conduct of Business Sourcebook (ICOBS) [pdf] |
29/06/2010 |
Supervisory Notice |
Chioma Skilling trading as Chioma Mortgages [pdf] |
29/06/2010 |
Supervisory Notice |
Chioma Skilling trading as Chioma Mortgages [pdf] |
29/06/2010 |
Press Release |
High Court orders Pruthi, Anderson and Peacock to pay £115m to the FSA |
29/06/2010 |
Statement |
FSA announces Jon Pain to leave organisation in 2011 |
29/06/2010 |
Press Release |
FSA publishes review of with-profits sector |
29/06/2010 |
Press Release |
FSA fines and bans oil futures broker for market abuse |
29/06/2010 |
Press Release |
FSA and FRC look to enhance auditors’ contribution to prudential regulation |
29/06/2010 |
Discussion Paper |
Enhancing the auditor’s contribution to prudential regulation |
28/06/2010 |
Final Notice |
The Garrison Finance Centre Limited (in liquidation) [pdf] |
28/06/2010 |
Press Release |
FSA confirms list of Retail Distribution Review adviser qualifications |
28/06/2010 |
Consultation Paper |
Delivering the RDR: Professionalism |
28/06/2010 |
Complaint |
CC Report GE-L1098 [pdf] |
25/06/2010 |
Policy Statement |
Delivering the Retail Distribution Review: Corporate pensions – feedback to CP09/31 and final rules |
25/06/2010 |
Policy Statement |
Mortgage Market Review – Arrears and Approved persons – Including feedback to CP10/2 |
25/06/2010 |
Policy Statement |
Regulatory reporting for sale and rent back firms – Feedback on CP10/4 and final rules |
25/06/2010 |
Handbook Development Newsletter |
Handbook Development (Issue 124) [pdf] |
25/06/2010 |
Press Release |
FSA demands tough standards from firms dealing with arrears and sale and rent back customers |
24/06/2010 |
Final Notice |
Mr Neale Andrew Morton [pdf] |
24/06/2010 |
Final Notice |
Steven Noel Perkins [pdf] |
24/06/2010 |
Handbook Notice |
Handbook Notice 101 [pdf] |
24/06/2010 |
Speech |
FSA’s approach to consumer protection |
24/06/2010 |
Speech |
Annual public meeting: Chairman’s speech |
24/06/2010 |
Speech |
CEO’s speech – FSA Annual Public Meeting |
24/06/2010 |
Press Release |
FSA holds its Annual Public Meeting |
22/06/2010 |
Press Release |
Ex-hedge fund trader sentenced for insider dealing |
22/06/2010 |
Final Notice |
Anjam Saeed Ahmad [pdf] |
22/06/2010 |
Speech |
Introduction to the FSA Enforcement Conference 2010 |
21/06/2010 |
Final Notice |
N-Hanced LLP [pdf] |
21/06/2010 |
Final Notice |
Belmont Regency Limited [pdf] |
21/06/2010 |
Press Release |
FSA fines Vantage £700,000 for failing to prevent an individual from performing a significant influence function without FSA approval |
21/06/2010 |
Press Release |
Photo-Me fined £500,000 for delay in disclosing inside information |
18/06/2010 |
Final Notice |
Carmen Murphy trading as CMP Independent Mortgage Advisers [pdf] |
17/06/2010 |
Final Notice |
Vantage Capital Markets LLP [pdf] |
17/06/2010 |
Speech |
FSA outlines plans for mortgage market |
17/06/2010 |
Press Release |
Should regulators judge culture? |
17/06/2010 |
Speech |
Do regulators have a role to play in judging culture and ethics? |
16/06/2010 |
Final Notice |
Lavell & Co Limited [pdf] |
16/06/2010 |
Press Release |
FSA Chairman welcomes Chancellor’s plans for regulatory reform |
16/06/2010 |
Statement |
FSA Chairman welcomes Chancellor’s plans for regulatory reform |
16/06/2010 |
Final Notice |
London Provident Limited [pdf] |
16/06/2010 |
Final Notice |
Your House of Finance UK Limited [pdf] |
16/06/2010 |
Final Notice |
Wood and Craven Ltd [pdf] |
16/06/2010 |
Final Notice |
John R May [pdf] |
16/06/2010 |
Final Notice |
Yewande Epega trading as EMortgages@Landmark [pdf] |
16/06/2010 |
Final Notice |
Paul Kenneth Nolan trading as Venture Financial Services [pdf] |
16/06/2010 |
Final Notice |
Patrick James O�Hagan trading as Apl Protection [pdf] |
16/06/2010 |
Supervisory Notice |
Splotlands Credit Union Limited [pdf] |
16/06/2010 |
Press Release |
FSA bans three individuals and fines two of them for mortgage fraud |
15/06/2010 |
Final Notice |
Tony Oliver [pdf] |
15/06/2010 |
Final Notice |
Amankwaa Adu [pdf] |
15/06/2010 |
Final Notice |
Monika Tewari [pdf] |
15/06/2010 |
Handbook Release |
Handbook Release 102 |
15/06/2010 |
Consultation Paper |
Tracing employers’ liability insurers |
14/06/2010 |
Press Release |
FSA appoints senior advisor |
11/06/2010 |
Final Notice |
Yourco Limited [pdf] |
11/06/2010 |
Final Notice |
David Neil Dodds trading as DND Mortgages [pdf] |
11/06/2010 |
Complaint |
CC Report GE-L01092 [pdf] |
11/06/2010 |
Statement |
FSA announces Sally Dewar to leave organisation in May 2011 |
10/06/2010 |
Final Notice |
Michael Adam Goldman formerly trading as Goldman Group [pdf] |
10/06/2010 |
Speech |
Regulatory reform |
10/06/2010 |
Speech |
Securities and Exchange Commission (SEC) regulation outside the US Conference |
10/06/2010 |
Press Release |
FSA publishes annual report for the year 2009/10 |
09/06/2010 |
Final Notice |
Mr David Richard Head [pdf] |
09/06/2010 |
Press Release |
FSA takes action against two insurance brokers for failing to protect client money and assets |
09/06/2010 |
Final Notice |
Adrian Shillaker [pdf] |
09/06/2010 |
Final Notice |
Griffiths McAlister Insurance Brokers Limited [pdf] |
09/06/2010 |
Final Notice |
Delwyn Arthur Way [pdf] |
08/06/2010 |
Press Release |
Former stockbroker charged for boiler room related offences |
07/06/2010 |
Final Notice |
Stephen Straw [pdf] |
07/06/2010 |
Press Release |
FSA fines Close Investments Ltd £98,000 for client money breaches |
07/06/2010 |
Press Release |
FSA fines Rowan Dartington & Co Ltd £511,000 for client money breaches |
04/06/2010 |
Final Notice |
Rowan Dartington & Co Limited [pdf] |
04/06/2010 |
Final Notice |
Close Investments Limited [pdf] |
04/06/2010 |
Final Notice |
Roger Edward Chapman trading as Chapman Webster and Company [pdf] |
04/06/2010 |
Press Release |
FSA bans Swindon based mortgage broker for breaching a settlement agreement and lying to the FSA |
04/06/2010 |
Final Notice |
Joseph Anthony Masi trading as Select Mortgage Services [pdf] |
04/06/2010 |
Final Notice |
Joseph Masi [pdf] |
04/06/2010 |
Consultation Paper |
Competence and ethics |
04/06/2010 |
Press Release |
FSA consults on changes to the existing training and competence regime |
03/06/2010 |
Speech |
Bank Supervision and bank governance: antagonists or allies? |
03/06/2010 |
Complaint |
CC report GE-L01111 [pdf] |
03/06/2010 |
Final Notice |
Motorloanshop.com Limited (MLS.com) [pdf] |
03/06/2010 |
Press Release |
FSA v Andrew King and Michael McFall |
03/06/2010 |
Final Notice |
J.P.Morgan Securities Ltd [pdf] |
03/06/2010 |
Press Release |
FSA levies largest ever fine of £33.32m on J.P.Morgan Securities Ltd for client money breaches |
02/06/2010 |
Final Notice |
Blue System Trading Limited [pdf] |
02/06/2010 |
Final Notice |
Andrew Charles Kerr [pdf] |
02/06/2010 |
Press Release |
FSA fines and bans commodity broker for market abuse |
01/06/2010 |
Final Notice |
Richard Granville Greenland [pdf] |
01/06/2010 |
Final Notice |
Richard Granville Greenland [pdf] |
01/06/2010 |
Final Notice |
Parkers [pdf] |
01/06/2010 |
Final Notice |
Khalid Khan trading as K K Associates [pdf] |
01/06/2010 |
Final Notice |
Hasmukh Patel trading as Safeguard Financial Services [pdf] |
01/06/2010 |
Final Notice |
Nigel Alexander McClements trading as Northumbria Mortgages [pdf] |
01/06/2010 |
Final Notice |
Paul David Abel trading as Abel Home Loans [pdf] |
28/05/2010 |
Final Notice |
Andrew Lawrence Greystoke [pdf] |
28/05/2010 |
Final Notice |
Atlantic Law LLP [pdf] |
28/05/2010 |
Handbook Notice |
Handbook Notice 100 |
28/05/2010 |
Press Release |
FSA introduces temporary rule to give recent PPI complainants more time to refer complaints to the Financial Ombudsman Service |
28/05/2010 |
Handbook Development Newsletter |
Handbook Development (Issue 123) [pdf] |
28/05/2010 |
Policy Statement |
Consolidated Policy Statement on our fee-raising arrangements and regulatory fees and levies 2010/11 – including feedback on CP10/5 and ‘made rules’. |
27/05/2010 |
Supervisory Notice |
Abraham Olorunshola trading as Canaan Properties Estate [pdf] |
25/05/2010 |
Final Notice |
John White [pdf] |
25/05/2010 |
Press Release |
FSA bans John White, a former Seymour Pierce employee, for fraud involving client and company money |
24/05/2010 |
Final Notice |
Keith Brown trading as K B Mortgages [pdf] |
24/05/2010 |
Miscellaneous |
The FSA’s markets regulatory agenda [pdf] |
24/05/2010 |
Miscellaneous |
The Small Firms Financial Crime Review [pdf] |
21/05/2010 |
Final Notice |
John Charalambous [pdf] |
21/05/2010 |
Final Notice |
Peter Henry Stow [pdf] |
21/05/2010 |
Speech |
Something old and something new: Novel and familiar drivers of the latest crisis |
21/05/2010 |
Press Release |
FSA bans inter-dealer broker |
21/05/2010 |
Final Notice |
Jonathan Stephen Bunn [pdf] |
20/05/2010 |
Supervisory Notice |
Akinfenwa Oyadare trading as The Flexi Mortgage and Loan Centre [pdf] |
20/05/2010 |
Supervisory Notice |
Deptford and New Cross Credit Union Limited [pdf] |
20/05/2010 |
Dear CEO Letter |
Client Money and Asset report Dear CEO – follow up [pdf] |
20/05/2010 |
Press Release |
FSA fines Simon Eagle £2.8m and bans him from financial services for deliberate market abuse |
20/05/2010 |
Final Notice |
Simon Eagle [pdf] |
19/05/2010 |
Supervisory Notice |
Daniel Amos [pdf] |
19/05/2010 |
Speech |
Key priorities in regulation – outlining the FSA’s strategy |
19/05/2010 |
Press Release |
One arrested in FSA and CoLP insider dealing investigation |
19/05/2010 |
Press Release |
FSA contacts 38,000 people to warn them they are targets of boiler room share fraudsters |
18/05/2010 |
Speech |
Solvency 2 – A Regulators Perspective |
18/05/2010 |
Speech |
Simplified advice |
18/05/2010 |
Speech |
FSA’s approach to intensive supervision |
18/05/2010 |
Press Release |
FSA statement on Johnny Cameron |
17/05/2010 |
Final Notice |
Anthony Ashley Wilson trading as Ashley Wilson Solicitors [pdf] |
17/05/2010 |
Final Notice |
Surrey Mortgages [pdf] |
17/05/2010 |
Final Notice |
MercInvest Limited [pdf] |
17/05/2010 |
Final Notice |
Paul Maclean trading as Concept Solutions (Edinburgh) [pdf] |
14/05/2010 |
Newsletter |
Mortgage lenders’ Round-up – Issue 5 [pdf] |
14/05/2010 |
Miscellaneous |
Financial Services Authority confirms Chesham Building Society merger with the Skipton Building Society [pdf] |
14/05/2010 |
Press Release |
Financial Services Authority confirms Chesham Building Society merger with the Skipton Building Society |
13/05/2010 |
Miscellaneous |
Anti-bribery and corruption in commercial insurance broking [pdf] |
13/05/2010 |
Press Release |
FSA prohibition of Andrew Greystoke and £400,000 fine on him and Atlantic Law LLP for aiding multi-million pound boiler room share scam upheld |
12/05/2010 |
Handbook Release |
Handbook Release 101 |
12/05/2010 |
Press Release |
FSA censures Integrity Financial Solutions Limited for geared traded endowment policy sales and promotion failings |
12/05/2010 |
Final Notice |
Integrity Financial Solutions Limited (in liquidation) [pdf] |
10/05/2010 |
Final Notice |
Kayode Ifesanya [pdf] |
06/05/2010 |
Supervisory Notice |
Turnbull Underwood Associates Mortgage Solutions [pdf] |
06/05/2010 |
Final Notice |
Kenwood Associates Limited [pdf] |
05/05/2010 |
Miscellaneous |
Update on supervisory arrangements for smaller insurers [pdf] |
05/05/2010 |
Press Release |
FSA fines Alpari and its former money laundering reporting officer, Sudipto Chattopadhyay for anti-money laundering failings |
05/05/2010 |
Final Notice |
Alpari (UK) Limited [pdf] |
05/05/2010 |
Final Notice |
Sudipto Chattopadhyay [pdf] |
04/05/2010 |
Final Notice |
Sytaz Finance Limited [pdf] |
30/04/2010 |
Supervisory Notice |
SW Technologies Limited [pdf] |
30/04/2010 |
Statement |
Update on Quinn Insurance Limited |
30/04/2010 |
Final Notice |
Ashok Kumar Sharma [pdf] |
30/04/2010 |
Final Notice |
Jason Andrew Phillips [pdf] |
30/04/2010 |
Final Notice |
Andrew Copeland Mortgages Limited [pdf] |
30/04/2010 |
Final Notice |
John Apicella trading as Mortgages 4 You [pdf] |
30/04/2010 |
Final Notice |
Noel Smith [pdf] |
30/04/2010 |
Final Notice |
John Apicella [pdf] |
30/04/2010 |
Press Release |
FSA bans three individuals and fines a fourth for mortgage fraud and advice failings |
29/04/2010 |
Final Notice |
Magic Mortgages.co.uk Limited [pdf] |
28/04/2010 |
Press Release |
Financial Services Authority charges ex-hedge fund trader |
28/04/2010 |
Miscellaneous |
Review of complaint handling in banking groups [pdf] |
28/04/2010 |
Press Release |
FSA takes tough action against poor complaint handling in banks |
27/04/2010 |
Final Notice |
Commerzbank AG [pdf] |
27/04/2010 |
Press Release |
FSA fines Commerzbank for failures in transaction reporting |
26/04/2010 |
Final Notice |
Contact Management Services Limited [pdf] |
26/04/2010 |
Final Notice |
Chikwudi Olatokunbo Ajudua trading as C O Ajudua [pdf] |
26/04/2010 |
Final Notice |
Heather Homes Limited [pdf] |
26/04/2010 |
Final Notice |
Michael Slevin [pdf] |
26/04/2010 |
Final Notice |
Sylvester Oluwaleimu trading as Crown Realty Estate Agents [pdf] |
26/04/2010 |
Final Notice |
Jump Mortgages Limited [pdf] |
26/04/2010 |
Final Notice |
Second City Finance Brokers Limited [pdf] |
26/04/2010 |
Final Notice |
Gefco UK Limited [pdf] |
26/04/2010 |
Newsletter |
General Insurance Newsletter – Issue 1 [pdf] |
26/04/2010 |
Newsletter |
Life Insurance Newsletter – Issue 1 [pdf] |
26/04/2010 |
Press Release |
FSA consults on use of certain new powers granted by the Financial Services Act 2010 |
26/04/2010 |
Consultation Paper |
Implementing aspects of the Financial Services Act 2010 |
23/04/2010 |
Application Refusals |
Elite Insurance Services Limited (ELITE) and Ms Sarah-Jayne Cooper (Ms Cooper) [pdf] |
23/04/2010 |
Handbook Development Newsletter |
Handbook Development (Issue 122) [pdf] |
23/04/2010 |
Handbook Notice |
Handbook Notice 99 [pdf] |
22/04/2010 |
Application Refusals |
George Slowey trading as GS Financial Services |
22/04/2010 |
Speech |
Effective corporate governance |
22/04/2010 |
Press Release |
FSA imposes fines of £4.25m on Winterflood and two traders for market abuse following success in Court of Appeal |
22/04/2010 |
Final Notice |
Geoffrey David Andrews trading as Foundations Home Finance [pdf] |
22/04/2010 |
Final Notice |
Winterflood Securities Limited [pdf] |
22/04/2010 |
Final Notice |
Stephen Sotiriou [pdf] |
22/04/2010 |
Final Notice |
Jason Robins [pdf] |
21/04/2010 |
Statement |
An update on Quinn Insurance Limited |
21/04/2010 |
Final Notice |
Mr Robin Duncan Glaze trading as Corporate Financial Services [pdf] |
20/04/2010 |
Speech |
How developments in regulation may affect investment companies |
20/04/2010 |
Statement |
FSA statement on Goldmans Sachs International |
20/04/2010 |
Handbook Release |
Handbook Release 100 |
16/04/2010 |
Press Release |
FSA fines London IFA £24,500 for pension switching advice failings |
16/04/2010 |
Press Release |
FSA fines and bans Patel and Chhabra for repeated market abuse |
16/04/2010 |
Final Notice |
Robin Chhabra and Sameer Patel [pdf] |
16/04/2010 |
Final Notice |
David Karatu [pdf] |
15/04/2010 |
Miscellaneous |
Report to HM Treasury on the implementation of the recommendations of the Rights Issue Review Group |
15/04/2010 |
Press Release |
FSA appoints CEO of new Consumer Financial Education Body |
15/04/2010 |
Miscellaneous |
FSA and Bank of England’s validation of LCH.Clearnet Ltd’s self assessment against CPSS IOSCO 2009 |
15/04/2010 |
Press Release |
London stock broking firm and senior director fined for penny share failings |
14/04/2010 |
Final Notice |
Hythe Securities Limited [pdf] |
14/04/2010 |
Final Notice |
Meenaz Pravin Mehta [pdf] |
13/04/2010 |
Final Notice |
Richard Barclay [pdf] |
13/04/2010 |
Final Notice |
David Baker [pdf] |
13/04/2010 |
Press Release |
FSA fines and bans former Northern Rock deputy chief executive and credit director for misreporting mortgage arrears figures |
12/04/2010 |
Press Release |
FSA bans and fines North West London mortgage broker for submitting fraudulent mortgage applications |
12/04/2010 |
Press Release |
Kensington Mortgage Company Limited fined £1.225 million for unfair treatment of some customers in arrears and will pay estimated £1.066 million customer redress |
12/04/2010 |
Final Notice |
Kensington Mortgage Company Limited [pdf] |
12/04/2010 |
Final Notice |
Sigma Fund Management LLP [pdf] |
09/04/2010 |
Supervisory Notice |
Jahan & Associates Limited [pdf] |
09/04/2010 |
Press Release |
More than £150 million in redress but further industry action needed as FSA updates on pension switching |
08/04/2010 |
Statement |
Royal Assent for Financial Services Act 2010 |
08/04/2010 |
Final Notice |
Credit Suisse [pdf] |
08/04/2010 |
Press Release |
FSA issues fines totalling £4.2m for transaction reporting failures |
08/04/2010 |
Final Notice |
Getco Europe Limited [pdf] |
08/04/2010 |
Final Notice |
Instinet Europe Limited [pdf] |
06/04/2010 |
Complaint |
CC report GE-L01096 [pdf] |
06/04/2010 |
Consultation Paper |
Quarterly consultation No.24 |
06/04/2010 |
Press Release |
FSA appoints new director |
01/04/2010 |
Press Release |
FSA bans independent financial adviser for not having appropriate systems and controls in place |
31/03/2010 |
Press Release |
Seven charged in FSA insider dealing investigation |
30/03/2010 |
Press Release |
FSA consults on enhanced client asset protection |
30/03/2010 |
Consultation Paper |
Enhancing the Client Assets Sourcebook |
30/03/2010 |
Press Release |
FSA commences criminal proceedings against third individual for insider dealing |
30/03/2010 |
Statement |
FSA Statement on Quinn Insurance Limited |
30/03/2010 |
Speech |
Taking the FSA’s corporate governance agenda forward |
29/03/2010 |
Final Notice |
Mr Gary Victor Lester [pdf] |
26/03/2010 |
Handbook Release |
Handbook Release 99 |
26/03/2010 |
Handbook Notice |
Handbook Notice 98 |
26/03/2010 |
Handbook Development Newsletter |
Handbook Development (Issue 121) |
26/03/2010 |
Speech |
The Future of the Fund Management Industry |
26/03/2010 |
Press Release |
FSA publishes rules on adviser charging |
26/03/2010 |
Policy Statement |
Distribution of retail investments: Delivering the RDR – feedback to CP09/18 and final rules |
26/03/2010 |
Discussion Paper |
Platforms: delivering the RDR and other issues for discussion |
26/03/2010 |
Consultation Paper |
Pure protection sales by retail investment firms: remuneration transparency and the COBS/ICOBS election |
26/03/2010 |
Press Release |
FSA introduces additional guidance for building societies |
26/03/2010 |
Policy Statement |
A specialist sourcebook for building societies: Enhanced supervisory guidance on financial and credit risk management |
26/03/2010 |
Final Notice |
Martyn Powsney [pdf] |
25/03/2010 |
Speech |
Delivering the right regulatory framework |
25/03/2010 |
Press Release |
FSA wins summary judgment against Pruthi, Anderson and Peacock |
24/03/2010 |
Press Release |
Seventh individual arrested in FSA and SOCA insider dealing investigation |
23/03/2010 |
Supervisory Notice |
Darren Michael Kempster trading as Heath Financial Management [pdf] |
23/03/2010 |
Press Release |
FSA publishes Mortgage Market Review Feedback Statement |
23/03/2010 |
Discussion Paper |
Mortgage Market Review: Feedback on DP09/3 |
23/03/2010 |
Press Release |
Six arrested in FSA and SOCA insider dealing investigation |
22/03/2010 |
Newsletter |
Market Watch Issue 34 [pdf] |
19/03/2010 |
Complaint |
CC report GE-L0905 [pdf] |
19/03/2010 |
Press Release |
Financial Services Authority confirms Chelsea Building Society merger with the Yorkshire Building Society |
19/03/2010 |
Miscellaneous |
Decision by the Financial Services Authority on the applications of Yorkshire Building Society and Chelsea Building Society for confirmation of a Transfer Of Engagements under Sections 94 and 95 of the Building Societies Act 1986 [pdf] |
18/03/2010 |
Final Notice |
Paul Andrew Armitage [pdf] |
18/03/2010 |
Final Notice |
Brian Smith [pdf] |
18/03/2010 |
Final Notice |
Huw Merfyn Evans [pdf] |
18/03/2010 |
Supervisory Notice |
Forest of Dean Credit Union Limited [pdf] |
18/03/2010 |
Speech |
What are the key risks facing the insurance sector? |
18/03/2010 |
Speech |
Our Approach to Insurance Supervision |
18/03/2010 |
Consultation Paper |
Taping: Removing the mobile phone exemption |
17/03/2010 |
Speech |
What do banks do, what should they do and what public policies are needed to ensure best results for the real economy? |
17/03/2010 |
Press Release |
FSA Chairman discusses potential for new macroprudential policy tools to manage credit and asset price instability |
17/03/2010 |
Press Release |
FSA publishes Business Plan for 2010/11 |
16/03/2010 |
Supervisory Notice |
Joseph Anthony Masi trading as Select Mortgage Services. [pdf] |
16/03/2010 |
Newsletter |
Mortgage lenders’ Round-up – Issue 4 [pdf] |
16/03/2010 |
Press Release |
FSA bans trader for ‘mis-marking’ |
16/03/2010 |
Final Notice |
Alexis Stenfors [pdf] |
15/03/2010 |
Final Notice |
Sally-Anne Jones trading as Red Loans and Mortgages [pdf] |
15/03/2010 |
Press Release |
FSA and Police contact 1,000 share fraud targets after seizing another boiler room ‘master list’ |
15/03/2010 |
Press Release |
Investment banker and wife charged with insider dealing – third suspect arrested in Mayotte |
12/03/2010 |
Final Notice |
Phoenix Management & Consultants Limited [pdf] |
12/03/2010 |
Press Release |
FSA CEO outlines new conduct regulation strategy – consumer protection through early intervention |
12/03/2010 |
Speech |
UK Financial Regulation: After the Crisis |
12/03/2010 |
Statement |
FSA Statement to the US bankruptcy court examiner on the collapse of Lehman Brothers Holdings inc |
11/03/2010 |
Final Notice |
Openet Plc [pdf] |
11/03/2010 |
Press Release |
Former Cazenove broker sentenced to 21 months in prison for insider dealing |
11/03/2010 |
Press Release |
New joint committee proposed to enhance consumer protection |
11/03/2010 |
Discussion Paper |
Consumer complaints (emerging risks and mass claims) |
10/03/2010 |
Press Release |
Former Cazenove partner found guilty of insider dealing |
10/03/2010 |
Final Notice |
Jim Fanning trading as James Fanning Financial Services [pdf] |
10/03/2010 |
Press Release |
FSA publishes Financial Risk Outlook |
09/03/2010 |
Application Refusals |
GRO Risk Solutions LTD – Individual final notice [pdf] |
09/03/2010 |
Application Refusals |
GRO Risk Solutions LTD – Firm final notice [pdf] |
09/03/2010 |
Application Refusals |
Martingale Risk Limited [pdf] |
09/03/2010 |
Consultation Paper |
The assessment and redress of payment protection insurance complaints; feedback on CP 09/23 and further consultation |
09/03/2010 |
Press Release |
FSA update on PPI reforms |
08/03/2010 |
Final Notice |
Mr Adam John Lucas trading as People Loans [pdf] |
08/03/2010 |
Statement |
Liquidity Calibration statement |
04/03/2010 |
Final Notice |
Oke Hassan [pdf] |
03/03/2010 |
Press Release |
FSA fines IFA director £49,000 for putting customers at risk of receiving poor pension switching advice |
03/03/2010 |
Speech |
What intensive supervision means for small firms |
03/03/2010 |
Speech |
Corporate governance – an FSA perspective |
02/03/2010 |
Press Release |
FSA fines and bans Bromley mortgage broker for submitting fraudulent mortgage applications |
02/03/2010 |
Statement |
Treasury Select Commitee Hearing – Too big to fail |
01/03/2010 |
Supervisory Notice |
Motorloanshop.com Limited [pdf] |
01/03/2010 |
Handbook Notice |
Handbook Notice 97 [pdf] |
01/03/2010 |
Final Notice |
G & W 5 Limited [pdf] |
01/03/2010 |
Press Release |
FSA finalises new framework for financial penalty-setting |
01/03/2010 |
Policy Statement |
Enforcement financial penalties – feedback on CP09/19 |
26/02/2010 |
Complaint |
CC report GE-L01009 [pdf] |
26/02/2010 |
Speech |
Resolution and Contagion |
26/02/2010 |
Policy Statement |
Funds of Alternative Investment Funds (FAIFs) Including feedback on CP08/4 |
26/02/2010 |
Policy Statement |
Listing Regime Review Feedback on CP09/24 and CP09/28 with final rules |
25/02/2010 |
Speech |
Evaluating the prospects for the UK and European market under the Alternative Investment Fund Managers Directive |
25/02/2010 |
Press Release |
FSA fines national financial advice firm £700,000 for failings relating to Lehman-backed structured product sales |
24/02/2010 |
Handbook Release |
Handbook Release 98 |
24/02/2010 |
Final Notice |
Mr Charles Palmer [pdf] |
24/02/2010 |
Final Notice |
RSM Tenon Financial Services Limited [pdf] |
24/02/2010 |
Speech |
Regulatory challenges and developments in the Bond Markets |
24/02/2010 |
Speech |
FSA sets out concerns about Traded Life Policy Investments |
24/02/2010 |
Press Release |
FSA issues warning about new share scam |
24/02/2010 |
Speech |
FSA sets out concerns about Traded Life Policy Investments |
24/02/2010 |
Press Release |
FSA censures Park Row, announces a customer redress exercise up to £7.8m and fines former CEO £49,000 |
23/02/2010 |
Handbook Development Newsletter |
Handbook Development (Issue 120) [pdf] |
23/02/2010 |
Final Notice |
Michael Robert Cameron trading as Fidelity Corporate Services [pdf] |
23/02/2010 |
Dear CEO Letter |
Adequate financial resources for insurance intermediaries [pdf] |
23/02/2010 |
Complaint |
CC report GE-L01079 [pdf] |
23/02/2010 |
Final Notice |
Peter Sprung [pdf] |
23/02/2010 |
Final Notice |
Park Row [pdf] |
23/02/2010 |
Miscellaneous |
Assessing possible sources of systemic risk from hedge funds [pdf] |
23/02/2010 |
Press Release |
FSA returns £270,000 to victims of share fraud [pdf] |
20/02/2010 |
Newsletter |
Mortgage lenders’ Round-up – Issue 3 [pdf] |
18/02/2010 |
Press Release |
Glasgow stock broker firm fined £101,500 |
17/02/2010 |
Final Notice |
Direct Sharedeal Limited [pdf] |
17/02/2010 |
Press Release |
Semperian Limited Partnership pleads guilty to change in control offence |
17/02/2010 |
Press Release |
FSA takes robust action against Wills & Co to stop it putting customers at risk |
16/02/2010 |
Final Notice |
Wills & Co Stockbrokers Limited [pdf] |
16/02/2010 |
Final Notice |
Darren Lansdown [pdf] |
16/02/2010 |
Final Notice |
Katharine Prichard [pdf] |
16/02/2010 |
Press Release |
Three Turkish oil company executives fined £1.16m for market abuse |
16/02/2010 |
Statement |
Update on Lifemark |
15/02/2010 |
Final Notice |
Forest Financial Services Limited [pdf] |
15/02/2010 |
Final Notice |
Mr Kevin Byrne [pdf] |
15/02/2010 |
Press Release |
FSA bans London based mortgage broker for incompetence and failing to prevent mortgage fraud |
15/02/2010 |
Press Release |
FSA chairman says past assumptions about the benefits of unlimited financial services liberalisation and innovation have to be challenged |
15/02/2010 |
Speech |
After the crises: assessing the costs and benefits of financial liberalisation |
12/02/2010 |
Complaint |
CC report GE-L01078 [pdf] |
12/02/2010 |
Complaint |
CC report GE-L01084 [pdf] |
12/02/2010 |
Complaint |
CC report GE-L01071 [pdf] |
12/02/2010 |
Press Release |
FSA announces annual funding requirement for 2010/11 |
12/02/2010 |
Consultation Paper |
Regulatory fees and levies – Rates proposals 2010/11 and feedback statement on Part 1 of CP09/26 |
12/02/2010 |
Final Notice |
Mehmet Sepil [pdf] |
12/02/2010 |
Final Notice |
Murat Ozgul [pdf] |
12/02/2010 |
Final Notice |
Levent Akca [pdf] |
12/02/2010 |
Speech |
Living Wills: How Can the Concept be Implemented? |
09/02/2010 |
Miscellaneous |
Market-wide Exercise 2009 Report Published |
09/02/2010 |
Statement |
FSA chief executive officer to step down in the summer |
09/02/2010 |
Final Notice |
Omodeleola Kehinde Okenla trading as M & D Property Services [pdf] |
05/02/2010 |
Press Release |
Director banned by FSA for Client Money failings |
04/02/2010 |
Press Release |
FSA bans West London mortgage broker for submitting fraudulent applications |
03/02/2010 |
Press Release |
FSA bans hedge fund manager and fines him £140,000 for ‘mis-marking’ |
01/02/2010 |
Final Notice |
Matthew Sixsmith [pdf] |
01/02/2010 |
Final Notice |
Bridgewater House UK Limited [pdf] |
01/02/2010 |
Final Notice |
Simon Treacher [pdf] |
01/02/2010 |
Press Release |
SEC and UK FSA Hold Fifth Meeting of the SEC-FSA Strategic Dialogue |
01/02/2010 |
Statement |
Further update on Keydata Investment Services Limited |
01/02/2010 |
Press Release |
FSA targets small cap sales practices |
01/02/2010 |
Press Release |
FSA and Police launch ‘Operation WARN’ to prevent thousands of people from becoming victims of share fraud |
29/01/2010 |
Handbook Notice |
Handbook Notice 96 [pdf] |
29/01/2010 |
Consultation Paper |
Sale and rent back (full regime) – Feedback on CP09/22, made rules and consultation on reporting |
29/01/2010 |
Complaint |
CC report GE-L01045 [pdf] |
29/01/2010 |
Final Notice |
Falcon Securities (UK) Limited [pdf] |
29/01/2010 |
Statement |
Update on The Freedom SIPP Limited – In Liquidation |
29/01/2010 |
Press Release |
FSA confirms plan for publishing information on firms’ complaints handling |
29/01/2010 |
Policy Statement |
Publication of Complaints Data including Feedback to CP09/21 |
29/01/2010 |
Press Release |
Three arrested in FSA insider dealing investigation |
29/01/2010 |
Press Release |
FSA introduces further protections for sale and rent back customers |
28/01/2010 |
Press Release |
FSA outlines latest steps to address corporate governance at firms |
28/01/2010 |
Consultation Paper |
Effective corporate governance (Significant influence controlled functions and the Walker review) |
27/01/2010 |
Miscellaneous |
ICAAP submissions � observations for Limited Licence Investment Firms [pdf] |
27/01/2010 |
Press Release |
Derbyshire firm and its two partners fined a total of £49,000 |
27/01/2010 |
Final Notice |
Leslie Lugsden [pdf] |
27/01/2010 |
Final Notice |
Sett Valley Insurance Services [pdf] |
27/01/2010 |
Final Notice |
John Hargreaves [pdf] |
26/01/2010 |
Handbook Release |
Handbook Release 97 |
26/01/2010 |
Final Notice |
Derek Silk trading as Silk Insurance Brokers [pdf] |
26/01/2010 |
Press Release |
FSA sets out new steps to ensure that borrowers in arrears are treated fairly and to reduce levels of mortgage fraud |
26/01/2010 |
Consultation Paper |
Mortgage Market Review – Arrears and Approved Persons |
25/01/2010 |
Speech |
Asset management regulatory trends and priorities in the post-crisis environment: an update from the FSA |
25/01/2010 |
Final Notice |
Edward Adejumo trading as Maxim Finance [pdf] |
25/01/2010 |
Final Notice |
Gregory Lagan trading Gregory Lagan Motors [pdf] |
25/01/2010 |
Final Notice |
The Mortgage Times Group Limited [pdf] |
24/01/2010 |
Handbook Development Newsletter |
Handbook Development (Issue 119) [pdf] |
22/01/2010 |
Final Notice |
Brian McGee trading as Brian McGee Investments and Pensions [pdf] |
21/01/2010 |
Supervisory Notice |
Alpha to Omega Limited |
21/01/2010 |
Final Notice |
Eamon McCourt trading as McCourt Financial Management [pdf] |
21/01/2010 |
Final Notice |
Joseph Michael Carter trading as Mike Carter & Company [pdf] |
21/01/2010 |
Final Notice |
Michael John Harvey trading as Michael Harvey and Associates [pdf] |
21/01/2010 |
Miscellaneous |
Factsheet Climate change thematic review: flooding � do your customers know what they are covered for [pdf] |
21/01/2010 |
Final Notice |
Executive Investments Plc [pdf] |
21/01/2010 |
Press Release |
FSA outlines concerns about firms’ handling of clients’ money and assets |
21/01/2010 |
Dear CEO Letter |
Client Money & Asset report [pdf] |
21/01/2010 |
Press Release |
FSA Chairman calls for close engagement between accounting standard setters and prudential regulators of banks |
21/01/2010 |
Speech |
Banks are different: should accounting reflect that fact? |
20/01/2010 |
Final Notice |
Jeffery Flanders (Consulting) Limited [pdf] |
20/01/2010 |
Final Notice |
Andrew Emelife trading as Loans4Assets.com [pdf] |
20/01/2010 |
Final Notice |
Andrew Emelife [pdf] |
20/01/2010 |
Final Notice |
John Wood trading as Ruskin Associates [pdf] |
20/01/2010 |
Press Release |
FSA fines Standard Life £2.45m for serious systems and controls failures |
20/01/2010 |
Final Notice |
Standard Life Assurance Limited [pdf] |
20/01/2010 |
Press Release |
FSA fines and bans Bolton mortgage broker for failing to act with competence and capability |
20/01/2010 |
Final Notice |
Finance.com Limited trading as UK Mortgages and Loans [pdf] |
20/01/2010 |
Final Notice |
Riaz Ahmad [pdf] |
19/01/2010 |
Press Release |
Insurance fraudster banned by FSA for deceiving customers out of almost £400k |
18/01/2010 |
Supervisory Notice |
Alpha to Omega Limited [pdf] |
18/01/2010 |
Speech |
Improving bank capital structures |
18/01/2010 |
Press Release |
FSA removes director’s approval to hold senior positions for two years |
15/01/2010 |
Final Notice |
Mr Roger Murray Collins [pdf] |
14/01/2010 |
Press Release |
FSA bans insurance broker for failing in his duties as a director |
13/01/2010 |
Final Notice |
Wilmot Financial Solutions Limited [pdf] |
13/01/2010 |
Dear CEO Letter |
FSA requirements on your firm’s liquidity risk management [pdf] |
12/01/2010 |
Supervisory Notice |
Edinburgh Hackney Cab Trade Credit Union Limited [pdf] |
12/01/2010 |
Final Notice |
NFS Yorkshire Limited [pdf] |
12/01/2010 |
Press Release |
FSA takes action against London mortgage broker for lack of openness and co-operation with the regulator |
12/01/2010 |
Final Notice |
Olayinka Oladipupo [pdf] |
12/01/2010 |
Final Notice |
Trinity Network Services Limited [pdf] |
11/01/2010 |
Press Release |
Research analyst and spread better friend committed market abuse, says Tribunal |
10/01/2010 |
Supervisory Notice |
Harp Credit Union Limited [pdf] |
08/01/2010 |
Final Notice |
Mr Mark Hazelwood [pdf] |
08/01/2010 |
Final Notice |
Synergys Ethical Limited [pdf] |
07/01/2010 |
Press Release |
FSA fines Northern Ireland mortgage firm for failing to prevent fraud and bans one of its partners |
06/01/2010 |
Consultation Paper |
Quarterly consultation (No.23) |
06/01/2010 |
Press Release |
FSA starts criminal proceedings against former iSOFT directors |
05/01/2010 |
Final Notice |
Mr Stephen Robert Allen [pdf] |
05/01/2010 |
Press Release |
FSA appoints consumer senior advisor |