FSA News

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