| Ref. |
Date |
Subject |
| FSA/PN/141/2005 |
21/12/2005 |
FSA fines finance director £25,000 for market abuse |
| FSA/PN/140/2005 |
16/12/2005 |
FSA calls for networks to improve control over Appointed Representatives |
| FSA/PN/139/2005 |
16/12/2005 |
Community and voluntary organisations benefit from FSA's Innovation Fund awards |
| FSA/PN/138/2005 |
15/12/2005 |
FSA proposes "no change" in compensation and Ombudsman payment limits - but consults on specific issues |
| FSA/PN/137/2005 |
14/12/2005 |
FSA fines HSBC £100,000 for transaction reporting breaches |
| FSA/PN/136/2005 |
14/12/2005 |
Tripartite Authorities assess the resilience of the UK financial sector |
| FSA/PN/135/2005 |
9/12/2005 |
FSA appoints new Compensation Scheme Board chairman |
| FSA/PN/134/2005 |
9/12/2005 |
FSA finds small IFA firms are handling mortgage endowment complaints well but some issues remain |
| FSA/PN/133/2005 |
9/12/2005 |
FSA censures Eurodis for listing rules breach |
| FSA/PN/132/2005 |
8/12/2005 |
FSA keeps 600 'rogue' M&GI firms out of the industry |
| FSA/PN/131/2005 |
7/12/2005 |
New practice will better protect consumers from cheque fraud |
| FSA/PN/130/2005 |
2/12/2005 |
Reinsurance brokers agree not to undertake any regulated activity for two years |
| FSA/PN/129/2005 |
2/12/2005 |
Financial Services Authority sets out road map to better regulation |
| FSA/PN/128/2005 |
1/12/2005 |
FSA imposes a public censure on Berkeley Independent Advisers Limited |
| FSA/PN/127/2005 |
29/11/2005 |
FSA releases sector briefing on closed with-profits funds |
| FSA/PN/126/2005 |
25/11/2005 |
Solicitor found liable for assisting a boiler room share scam |
| FSA/PN/125/2005 |
22/11/2005 |
FSA warns industry to address VCT promotions failings |
| FSA/PN/124/2005 |
21/11/2005 |
FSA urges firms to begin planning for MiFID |
| FSA/PN/123/2005 |
17/11/2005 |
FSA fines UBS £100,000 for transaction reporting breaches |
| FSA/PN/122/2005 |
15/11/2005 |
General insurance perimeter presents positive picture |
| FSA/PN/121/2005 |
14/11/2005 |
FSA finds improvements from lenders but mixed results for brokers in self-certification mortgages |
| FSA/PN/120/2005 |
11/11/2005 |
Former AIT directors ordered to compensate investors |
| FSA/PN/119/2005 |
10/11/2005 |
Kings fined £60,000 for financial promotions failings |
| FSA/PN/118/2005 |
09/11/2005 |
FSA closes enquiries into Shell individuals |
| FSA/PN/117/2005 |
09/11/2005 |
FSA fines bond broker and managing director for anti-money laundering failures |
| FSA/PN/116/2005 |
07/11/2005 |
Reviews of M&GI regimes - FSA sets out more detail |
| FSA/PN/115/2005 |
04/11/2005 |
FSA update on payment protection insurance (PPI) |
| FSA/PN/114/2005 |
31/10/2005 |
FSA reports on its performance |
| FSA/PN/113/2005 |
27/10/2005 |
FSA updates guide to help employers promote pensions schemes |
| FSA/PN/112/2005 |
27/10/2005 |
New Vice Chairman of Financial Services Consumer Panel |
| FSA/PN/111/2005 |
26/10/2005 |
FSA bares all in new mortgage website for consumers |
| FSA/PN/110/2005 |
20/10/2005 |
FSA takes next steps in reforming its enforcement process |
| FSA/PN/109/2005 |
18/10/2005 |
FSA looks for improvement in general insurance documents given to customers |
| FSA/PN/108/2005 |
12/10/2005 |
FSA fines GoshawK Syndicate Management Limited £220,000 for systems and control failures |
| FSA/PN/107/2005 |
11/10/2005 |
FSA consults on rules for disclosure of financial reinsurance |
| FSA/PN/106/2005 |
07/10/2005 |
Former directors sentenced for criminal market abuse |
| FSA/PN/105/2005 |
04/10/2005 |
Industry progress on Treating Customers Fairly |
| FSA/PN/104/2005 |
30/09/2005 |
FSA publishes proposals for fund disclosures to retail clients |
| FSA/PN/103/2005 |
29/09/2005 |
FSA Managing Director tells of challenges to firms in inaugural speech in Northern Ireland |
| FSA/PN/102/2005 |
28/09/2005 |
FSA closes enquiry into Chelsea Village plc |
| FSA/PN/101/2005 |
23/09/2005 |
Director appointments |
| FSA/PN/100/2005 |
23/09/2005 |
FSA announces review of general insurance regulation |
| FSA/PN/099/2005 |
22/09/2005 |
FSA tell firms: Make sure you are ready for A-day |
| FSA/PN/098/2005 |
20/09/2005 |
FSA fines CFS Independent Limited for serious risk management and compliance failures |
| FSA/PN/097/2005 |
16/09/2005 |
FSA publishes Feedback Statement to CP05/3, 'Strengthening Capital Standards' |
| FSA/PN/096/2005 |
16/09/2005 |
FSA bans former director of IFA firm for management failings |
| FSA/PN/095/2005 |
06/09/2005 |
FSA finds mixed picture on sub-prime mortgage compliance |
| FSA/PN/094/2005 |
05/09/2005 |
FSA to examine secondary bond market transparency |
| FSA/PN/093/2005 |
30/08/2005 |
FSA action ensures regulated firms meet minimum standards |
| FSA/PN/092/2005 |
22/08/2005 |
FSA publishes guide for consumers on financial advice |
| FSA/PN/091/2005 |
18/08/2005 |
FSA secures convictions in first criminal market abuse case |
| FSA/PN/090/2005 |
16/08/2005 |
New Consumer Panel Chairman appointed |
| FSA/PN/089/2005 |
11/08/2005 |
FSA mystery shopping finds mortgage firms are not providing key documents |
| FSA/PN/088/2005 |
10/08/2005 |
FSA warns about unauthorised motor 'insurer' |
| FSA/PN/087/2005 |
01/08/2005 |
FSA restricts Jonathan Elms following pensions review failures |
| FSA/PN/086/2005 |
01/08/2005 |
FSA fines Bear Stearns for transaction reporting failures |
| FSA/PN/085/2005 |
28/07/2005 |
Quick Guide will help consumers choose the right investment products |
| FSA/PN/084/2005 |
28/07/2005 |
FSA praises Scottish commitment to improving financial capability |
| FSA/PN/083/2005 |
25/07/2005 |
New fee paying instalment plan shows successful start as over 1,600 firms sign-up |
| FSA/PN/082/2005 |
19/07/2005 |
FSA publishes recommendations of enforcement process review |
| FSA/PN/081/2005 |
15/07/2005 |
Endowments - consumers act but FSA keeps close eye on complaints |
| FSA/PN/080/2005 |
14/07/2005 |
MyTravel fined £240,000 for Listing Rule breach |
| FSA/PN/079/2005 |
13/07/2005 |
FSA to simplify Handbook and remove unnecessary Rules |
| FSA/PN/078/2005 |
06/07/2005 |
FSA targets illegal insurance brokers |
| FSA/PN/077/2005 |
06/07/2005 |
'Get rich quick' scheme operator made bankrupt |
| FSA/PN/076/2005 |
06/07/2005 |
FSA tells industry that Treating Customers Fairly must be 'business as usual' |
| FSA/PN/075/2005 |
04/07/2005 |
FSA data show continuing improvements in capital strength of with-profits insurers |
| FSA/PN/074/2005 |
29/06/2005 |
FSA publishes 2004/05 Annual Report |
| FSA/PN/073/2005 |
28/06/2005 |
FSA move to free up advice on personal pensions |
| FSA/PN/072/2005 |
28/06/2005 |
FSA fines Citigroup £13.9 million (€20.9mn) for Eurobond trades |
| FSA/PN/071/2005 |
27/06/2005 |
FSA launches £100,000 fund to help voluntary and community sector increase financial awareness |
| FSA/PN/070/2005 |
23/06/2005 |
Glossop 'accountant' jailed for illegal deposit taking |
| FSA/PN/069/2005 |
23/06/2005 |
New members appointed to Consumer Panel |
| FSA/PN/068/2005 |
23/06/2005 |
FSA launches debate on the impact of hedge funds in the UK |
| FSA/PN/067/2005 |
21/06/2005 |
FSA publishes guide to help young adults be more confident with money |
| FSA/PN/066/2005 |
20/06/2005 |
FSA takes action against 'higher risk' mortgage firms |
| FSA/PN/065/2005 |
14/06/2005 |
FSA introduces tailored Handbooks for small firms |
| FSA/PN/064/2005 |
10/06/2005 |
FSA will not tolerate 'phoenix' firms |
| FSA/PN/063/2005 |
06/06/2005 |
FSA publishes near final Prospectus Directive Rules |
| FSA/PN/062/2005 |
01/06/2005 |
Financial Services Compensation Scheme Board appointments |
| FSA/PN/061/2005 |
27/05/2005 |
FSA Statement on BPS Insure Limited |
| FSA/PN/060/2005 |
27/05/2005 |
Depolarisation opens door to more consumer choice and a more competitive retail investments market |
| FSA/PN/059/2005 |
27/05/2005 |
FSA Statement regarding Legal & General Tribunal further decision |
| FSA/PN/058/2005 |
27/05/2005 |
2005/06 Final Fees and Levies / Funding Review |
| FSA/PN/057/2005 |
26/05/2005 |
FSA sets out a good practice model for stress testing and invites comment |
| FSA/PN/056/2005 |
25/05/2005 |
Abbey fined £800,000 for mishandling mortgage endowment complaints |
| FSA/PN/055/2005 |
24/05/2005 |
FSA warns advisers that unsuitable equity release advice has got to stop |
| FSA/PN/054/2005 |
24/05/2005 |
FSA work discovers consumers are not being properly advised on equity release |
| FSA/PN/053/2005 |
20/05/2005 |
Cost of regulation study gathers pace |
| FSA/PN/052/2005 |
20/05/2005 |
FSA creates new accounting and auditing sector team |
| FSA/PN/051/2005 |
19/05/2005 |
Make sure contracts terms are fair, FSA tells firms |
| FSA/PN/050/2005 |
18/05/2005 |
FSA wants to see improvements in Key Facts documents |
| FSA/PN/049/2005 |
17/05/2005 |
FSA announces a new market-based instalment plan for firms to pay their 2005/06
fees and levies |
| FSA/PN/048/2005 |
11/05/2005 |
Alzheimers
Association registration cancelled |
| FSA/PN/047/2005 |
10/05/2005 |
Courtover Investment
Management Ltd fined £20,000 for approving misleading financial
promotion |
| FSA/PN/046/2005 |
05/05/2005 |
Mortgage perimeter
"in good shape" |
| FSA/PN/045/2005 |
03/05/2005 |
Progress on
payment by instalments |
| FSA/PN/044/2005 |
28/04/2005 |
Provisional
Liquidators appointed to Whiteley Insurance Consultants |
| FSA/PN/043/2005 |
28/04/2005 |
FSA
publishes final rules for new Listing Regime |
| FSA/PN/042/2005 |
27/04/2005 |
FSA appoints
City lawyer as new Director of Enforcement |
| FSA/PN/041/2005 |
25/04/2005 |
Simplified
Prospectus will give fund investors more information |
| FSA/PN/040/2005 |
19/04/2005 |
FSA reveals
approach to retail risks and areas under review |
| FSA/PN/039/2005 |
15/04/2005 |
FSA warns
of new boiler room threat |
| FSA/PN/038/2005 |
14/04/2005 |
FSA and Teather
& Greenwood Limited announce details of Split capital investment trust
settlement |
| FSA/PN/037/2005 |
14/04/2005 |
FSA and Exeter
Asset Management Limited announce details of split capital investment
trust settlement |
| FSA/PN/036/2005 |
08/04/2005 |
FSA fees update |
| FSA/PN/035/2005 |
07/04/2005 |
FSA looks to
insurance industry to address conflicts of interest |
| FSA/PN/034/2005 |
06/04/2005 |
FSA fines
auditor for market abuse |
| FSA/PN/033/2005 |
31/03/2005 |
FSA publishes
new service standards |
| FSA/PN/032/2005 |
31/03/2005 |
FSA and industry
propose way forward on soft commissions and bundled brokerage |
| FSA/PN/031/2005 |
30/03/2005 |
"Wider
implications" issues: FSA and Ombudsman to implement improved procedures
|
| FSA/PN/030/2005 |
23/03/2005 |
City Index
Ltd fined £35,000 for misleading financial promotions |
| FSA/PN/029/2005 |
22/03/2005 |
FSA publishes
rules implementing Market Abuse Directive |
| FSA/PN/028/2005 |
11/03/2005 |
FSA calls for
contributions to enforcement process review |
| FSA/PN/027/2005 |
03/03/2005 |
FSA begins
costs of regulation study |
| FSA/PN/026/2005 |
03/03/2005 |
FSA fines Highbury
Financial Services Ltd £35,000 for misleading financial promotions |
| FSA/PN/025/2005 |
03/03/2005 |
Firm-friendly
web site aims to make compliance easier |
| FSA/PN/024/2005 |
01/03/2005 |
FSA fines investor
£15,000 for internet market abuse |
| FSA/PN/023/2005 |
23/02/2005 |
FSA launches
new reporting requirements |
| FSA/PN/022/2005 |
22/02/2005 |
FSA warns
firms on OTC credit derivatives administration |
| FSA/PN/021/2005 |
17/02/2005 |
FSA targets
illegal mortgage brokers |
| FSA/PN/020/2005 |
16/02/2005 |
Treating Customers
Fairly: progress made, but more to do |
| FSA/PN/019/2005 |
16/02/2005 |
Tribunal refuses
authorisation application for Ridings GB Ltd and three individuals |
| FSA/PN/018/2005 |
15/02/2005 |
FSA helping
financial advisers facing uncertain future |
| FSA/PN/017/2005 |
10/02/2005 |
FSA suspends
registration of the Alzheimers Association |
| FSA/PN/016/2005 |
07/02/2005 |
FSA reminds
consumers to consider their State Second Pension position |
| FSA/PN/015/2005 |
04/02/2005 |
Potential
longer term implications of a change of ownership of the London Stock
Exchange |
| FSA/PN/014/2005 |
02/02/2005 |
FSA announces
scope of enforcement processes review |
| FSA/PN/013/2005 |
01/02/2005 |
FSA responds
to requests from general insurance industry for help on conflict management
rules |
| FSA/PN/012/2005 |
28/01/2005 |
FSA issues
final rules for fair treatment of with-profits policyholders |
| FSA/PN/011/2005 |
27/01/2005 |
FSA consults
on Capital Requirements Directive |
| FSA/PN/010/2005 |
27/01/2005 |
Pace Micro
Technology fined 450,000 for Listing Rule breaches |
| FSA/PN/009/2005 |
26/01/2005 |
Small firms
central to FSA priorities for the year ahead |
| FSA/PN/008/2005 |
25/01/2005 |
Sir Christopher
Kelly KCB appointed Chairman of Financial Ombudsman Service |
| FSA/PN/007/2005 |
24/01/2005 |
FSA restricts
Michael Harding following pensions review failures |
| FSA/PN/006/2005 |
20/01/2005 |
FSA settles
proceedings against CIC underwriting agent |
| FSA/PN/005/2005 |
19/01/2005 |
FSA publishes
its Financial Risk Outlook |
| FSA/PN/004/2005 |
18/01/2005 |
FSA Statement
regarding the Legal & General Judgment |
| FSA/PN/003/2005 |
14/01/2005 |
All systems
go as 'GI-Day' arrives |
| FSA/PN/002/2005 |
13/01/2005 |
FSA fines
Hemscott Investment Analysis Ltd 50,000 for misleading financial promotions |
| FSA/PN/001/2005 |
04/01/2005 |
Some firms
still not handling complaints properly, says FSA |
