| Ref. |
Date |
Subject |
| FSA/PN/136/2007 |
28/12/07 |
FSA survey finds people too scared to open their post-Christmas bills |
| FSA/PN/135/2007 |
19/12/07 |
FSA imposes a public censure on PB Roberts Limited |
| FSA/PN/134/2007 |
19/12/07 |
FSA publishes a review of the liquidity requirements for banks and building societies |
| FSA/PN/133/2007 |
18/12/07 |
New FSA travel insurance regime will protect consumers |
| FSA/PN/132/2007 |
18/12/07 |
FSA cuts back on detailed insurance selling rules but tightens up where customers are not being treated fairly |
| FSA/PN/131/2007 |
17/12/07 |
FSA bans pet insurance broker |
| FSA/PN/130/2007 |
17/12/07 |
FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud |
| FSA/PN/129/2007 |
14/12/07 |
FSA bans former Chief Executive of Insurance broker |
| FSA/PN/128/2007 |
14/12/07 |
FSA and CONSOB sign regulatory cooperation agreement |
| FSA/PN/127/2007 |
14/12/07 |
FSA bans four individuals for dishonest behaviour in the reinsurance market |
| FSA/PN/126/2007 |
10/12/07 |
FSA announces further work on commission disclosure and the commercial insurance market |
| FSA/PN/125/2007 |
04/12/07 |
FSA calls on lenders to protect themselves against a possible worsening of liquidity and credit risks |
| FSA/PN/124/2007 |
04/12/07 |
FSA announces RDR timetable |
| FSA/PN/123/2007 |
03/12/07 |
Firms must do more to ensure their Appointed Representatives treat customers fairly |
| FSA/PN/122/2007 |
28/11/07 |
FSA calls for all firms to ensure their promotional websites are fair, clear and not misleading |
| FSA/PN/121/2007 |
28/11/07 |
FSA encourages growth of Islamic finance in the UK |
| FSA/PN/120/2007 |
26/11/07 |
FSA will work with industry to improve mortgage advice - and clamp down on brokers unwilling to change |
| FSA/PN/119/2007 |
21/11/07 |
FSA publishes review of 'waiver' on the handling of complaints in relation to unauthorised overdraft charges |
| FSA/PN/118/2007 |
19/11/07 |
FSA fines two firms and bans a third for sub-prime failing |
| FSA/PN/117/2007 |
16/11/07 |
FSA fines Toronto Dominion Bank (London branch) £490,000 for systems and controls failings and bans Mr Simon Richard Brignall from carrying out regulated activities |
| FSA/PN/116/2007 |
14/11/07 |
FSA update on funds of alternative investment funds |
| FSA/PN/115/2007 |
13/11/07 |
Reformed funding model for Financial Services Compensation Scheme to operate from next year |
| FSA/PN/114/2007 |
12/11/07 |
FSA proposes greater disclosure of 'Contracts for Difference' |
| FSA/PN/113/2007 |
6/11/07 |
Financial Services Authority calls for renewed energy to deliver Treating Customers Fairly |
| FSA/PN/112/2007 |
1/11/07 |
Two men arrested in FSA's first criminal investigation on boiler rooms |
| FSA/PN/111/2007 |
1/11/07 |
FSA's new investment rules come into force |
| FSA/PN/110/2007 |
31/10/07 |
FSA fines stockbroker for poor risk warnings and advice |
| FSA/PN/109/2007 |
18/10/07 |
FSA fines mortgage firm for lifetime mortgage selling failures |
| FSA/PN/108/2007 |
05/10/07 |
Eligible Assets Directive implementation provides clarification for UCITS managers |
| FSA/PN/107/2007 |
03/10/07 |
Chris Pond appointed as Director of Financial Capability for the FSA |
| FSA/PN/106/2007 |
02/10/07 |
New measures to help small firms from FSA |
| FSA/PN/105/2007 |
01/10/07 |
Compensation Scheme to cover 100% of depositors' claims up to £35,000 |
| FSA/PN/104/2007 |
28/09/07 |
FSA launches a more principles-based regime for unit-linked investments |
| FSA/PN/103/2007 |
27/09/07 |
FSA tells firms to ensure proper management of with-profits funds |
| FSA/PN/102/2007 |
26/09/07 |
FSA publishes latest findings on PPI |
| FSA/PN/101/2007 |
25/09/07 |
FSA shuts down UK based firms for assisting boiler rooms |
| FSA/PN/100/2007 |
12/09/07 |
University freshers should be smart about their money and get a check up with their university money doctor |
| FSA/PN/099/2007 |
06/09/07 |
FSA fines mortgage firm and its chief executive for re-mortgage and PPI selling failures |
| FSA/PN/098/2007 |
04/09/07 |
Industry Guidance key role in Principles-Based Regulation |
| FSA/PN/097/2007 |
03/09/07 |
Mortgage broker fined for financial promotion and sales-related failings |
| FSA/PN/096/2007 |
03/09/07 |
New term for FSA's Independent Complaints Commissioner |
| FSA/PN/095/2007 |
01/08/07 |
Mortgage exit administration fees (MEAFs): an update |
| FSA/PN/094/2007 |
01/08/07 |
Two firms fined, one censured for management failings on mortgage advice |
| FSA/PN/093/2007 |
031/07/07 |
FSA aims to streamline regulatory returns |
| FSA/PN/092/2007 |
30/07/07 |
FSA confirms decision to retain consumer protection measures in revised investment rules |
| FSA/PN/091/2007 |
27/07/07 |
New FSA Training and Competence regime will be simpler and more principles-based |
| FSA/PN/090/2007 |
27/07/07 |
FSA grants waiver to firms on complaints handling |
| FSA/PN/089/2007 |
26/07/07 |
Financial Services Authority confirms Portman Building Society merger with the Nationwide Building Society |
| FSA/PN/088/2007 |
26/07/07 |
FSA issues latest publications to support delivery of TCF initiative: Culture and Management Information |
| FSA/PN/087/2007 |
16/07/07 |
FSA issues Guidance on provider and distributor responsibilities |
| FSA/PN/086/2007 |
13/07/07 |
Hector Sants appointed FSA chief executive |
| FSA/PN/085/2007 |
12/07/07 |
Financial Services Compensation Scheme Board Appointment |
| FSA/PN/084/2007 |
12/07/07 |
Firms agree to change the way they sell PPI over the internet |
| FSA/PN/083/2007 |
05/07/07 |
FSA launches discussion on oversight of trading in MTF shares |
| FSA/PN/082/2007 |
05/07/07 |
FSA publishes a review of Personal Investment Firms' Prudential Requirements
|
| FSA/PN/081/2007 |
04/07/07 |
FSA finds poor practice by intermediaries and lenders within sub-prime market |
| FSA/PN/080/2007 |
02/07/07 |
FSA publishes conclusions of M&A inside information review |
| FSA/PN/079/2007 |
29/06/07 |
FSA publishes further independent research on the benefits of financial regulation |
| FSA/PN/078/2007 |
29/06/07 |
FSA publishes feedback and further consultation on Listing Review for Investment Entities |
| FSA/PN/077/2007 |
29/06/07 |
FSA sets out a principles-based future for general insurance regulation |
| FSA/PN/076/2007 |
27/06/07 |
FSA publishes first paper from the Retail Distribution Review |
| FSA/PN/075/2007 |
21/06/07 |
FSA publishes Annual Report for 2006/07 |
| FSA/PN/074/2007 |
20/06/07 |
FSA begins recruitment drive for university Money Doctors |
| FSA/PN/073/2007 |
20/06/07 |
FSA appoints new Director of Retail Firms Division |
| FSA/PN/072/2007 |
11/06/07 |
FSA fines adviser firm £42,000 for management and complaints handling failings |
| FSA/PN/071/2007 |
11/06/07 |
FSA publishes feedback on private equity risks |
| FSA/PN/070/2007 |
07/06/07 |
FSA bans illegal insurer from management for life |
| FSA/PN/069/2007 |
31/05/07 |
FSA publishes final regulatory fees and levies for 2007/08 |
| FSA/PN/068/2007 |
31/05/07 |
New investment business rules mark significant move to principles-based regulation |
| FSA/PN/067/2007 |
23/05/07 |
Portman and Nationwide Building Societies: merger confirmation hearing |
| FSA/PN/066/2007 |
22/05/07 |
FSA tells small retail firms they are on the regulatory radar |
| FSA/PN/065/2007 |
22/05/07 |
FSA finds significant improvement in home and motor insurance press advertising |
| FSA/PN/064/2007 |
21/05/07 |
FSA concludes split capital investment trust investigation |
| FSA/PN/063/2007 |
17/05/07 |
FSA expects firms to do more to treat consumers with life insurance products fairly |
| FSA/PN/062/2007 |
16/05/07 |
FSA confirms Industry Guidance on outsourcing |
| FSA/PN/061/2007 |
15/05/07 |
FSA fines Charterhouse £122,500 for unauthorised portfolio management |
| FSA/PN/060/2007 |
10/05/07 |
FSA fines BNPP Private Bank £350,000 for weak anti-fraud controls |
| FSA/PN/059/2007 |
09/05/07 |
Contracting out of SERPS/S2P: FSA finds no widespread mis-selling |
| FSA/PN/058/2007 |
08/05/07 |
FSA announces progress made on TCF and sets further deadline |
| FSA/PN/057/2007 |
01/05/07 |
FSA prohibition action following failings in connection with pension transfers |
| FSA/PN/056/2007 |
27/04/07 |
Retail distribution review: Conference will update on progress |
| FSA/PN/055/2007 |
25/04/07 |
FSA tells firms to improve general insurance sales standards when cold calling |
| FSA/PN/054/2007 |
23/04/07 |
FSA sets out future of regulation |
| FSA/PN/053/2007 |
19/04/07 |
FSA fines Sesame £330,000 for SCARPs complaints handling failures |
| FSA/PN/052/2007 |
17/04/07 |
FSA finds many small firms that employ compliance consultants are not acting on the advice they are given |
| FSA/PN/051/2007 |
13/04/07 |
FSA maintains a tough stance with small firms on minimum standards |
| FSA/PN/050/2007 |
12/04/07 |
FSA fines former finance director £30,000 for principles breaches |
| FSA/PN/049/2007 |
11/04/07 |
FSA bans insurance broker for management failings |
| FSA/PN/048/2007 |
11/04/07 |
Financial Ombudsman Service funding arrangements: Feedback Statement |
| FSA/PN/047/2007 |
10/04/07 |
Mortgage Effectiveness Review: focusing on higher risk areas |
| FSA/PN/046/2007 |
05/04/07 |
All systems go for new home finance regulation |
| FSA/PN/045/2007 |
04/04/07 |
FSA updates on investment entities listing rules |
| FSA/PN/044/2007 |
29/03/07 |
Solicitors made bankrupt for assisting boiler room |
| FSA/PN/043/2007 |
29/03/07 |
Consumers to benefit from PPI refunds agreement |
| FSA/PN/042/2007 |
28/03/07 |
FSA announces funding for three development workers for the Scottish Centre for Financial Education |
| FSA/PN/041/2007 |
28/03/07 |
FSA frees up rules for unit-linked investments |
| FSA/PN/040/2007 |
27/03/07 |
Wider access for retail customers to alternative investments |
| FSA/PN/039/2007 |
26/03/07 |
FSA publishes review of the commodities market |
| FSA/PN/038/2007 |
26/03/07 |
Lone parent, carer and elderly groups to benefit from FSA's Innovation Fund |
| FSA/PN/037/2007 |
21/03/07 |
FSA moves towards a more principles-based and proportionate approach to general insurance regulation |
| FSA/PN/036/2007 |
20/03/07 |
FSA fines analyst for market misconduct |
| FSA/PN/035/2007 |
20/03/07 |
FSA sets out reforms to funding of Compensation Scheme |
| FSA/PN/034/2007 |
14/03/07 |
FSA supports IOSCO Principles for the valuation of Hedge Fund Portfolios |
| FSA/PN/033/2007 |
13/03/07 |
FSA tells general insurance intermediaries no excuse for failing to protect client money |
| FSA/PN/032/2007 |
12/03/07 |
FSA launches £2 million campaign to help consumers get a grip on insurance |
| FSA/PN/031/2007 |
07/03/07 |
FSA publishes updated measure of UK market cleanliness |
| FSA/PN/030/2007 |
06/03/07 |
FSA tackles financial crime in the insurance industry |
| FSA/PN/029/2007 |
28/02/07 |
FSA simplifies training and competence rules for retail business |
| FSA/PN/028/2007 |
27/02/07 |
FSA acts to stops UK firm from assisting overseas boiler rooms |
| FSA/PN/027/2007 |
26/02/07 |
Almost 70% of people shop around to get the best deals on new gadgets. But only 43% bother to compare deals on life insurance |
| FSA/PN/026/2007 |
26/02/07 |
FSA imposes a public censure on Cathedral Motor Company Limited |
| FSA/PN/025/2007 |
23/02/07 |
£1 million a year saving for firms in Approved Persons simplification |
| FSA/PN/024/2007 |
22/02/07 |
FSA fines investment firm £14,000 for 'income withdrawal' failings |
| FSA/PN/023/2007 |
16/02/07 |
FSA acts to halt boiler room activities |
| FSA/PN/022/2007 |
15/02/07 |
FSA fines Capital One for PPI sales failures |
| FSA/PN/021/2007 |
14/02/07 |
FSA fines Nationwide £980,000 for information security lapses |
| FSA/PN/020/2007 |
12/02/07 |
FSA fines investment firm £10,500 for the failings of its subsidiary |
| FSA/PN/019/2007 |
6/02/2007 |
FSA Business Plan details drive towards more principles-based regulation |
| FSA/PN/018/2007 |
1/02/2007 |
FSA appoints new director |
| FSA/PN/017/2007 |
31/01/2007 |
FSA urges firms to improve stress testing |
| FSA/PN/016/2007 |
30/01/2007 |
New group to help the FSA to enhance the coherence of its retail regulation of savings agenda |
| FSA/PN/015/2007 |
30/01/2007 |
FSA fines GE Capital Bank |
| FSA/PN/014/2007 |
29/01/2007 |
Financial Services Compensation Scheme Board appointments |
| FSA/PN/013/2007 |
26/01/2007 |
Deadline met for transposing MiFID rules |
| FSA/PN/012/2007 |
26/01/2007 |
FSA statement on mortgage exit administration fee increases |
| FSA/PN/011/2007 |
25/01/2007 |
College of Euronext Regulators sign Memorandum of Understanding with the SEC |
| FSA/PN/010/2007 |
25/01/2007
|
FSA bans IFA from doing business |
| FSA/PN/009/2007 |
24/01/2007 |
FSA recognises industry solution to contract certainty |
| FSA/PN/008/2007 |
22/01/2007 |
New FSA team to crack down on financial crime |
| FSA/PN/007/2007 |
18/01/2007 |
FSA fines W Deb MVL Plc (formerly Williams de Broe Plc) £560,000 for breaches of FSA principles |
| FSA/PN/006/2007 |
18/01/2007 |
Retail Distribution Review: FSA announces members of industry groups |
| FSA/PN/005/2007 |
16/01/2007 |
John Tiner to step down as CEO in July 2007 |
| FSA/PN/004/2007 |
16/01/2007 |
'Savings claims' in insurance advertising can mislead consumers warns FSA |
| FSA/PN/003/2007 |
11/01/2007 |
FSA determined to see better practice in PPI sales |
| FSA/PN/002/2007 |
11/01/2007 |
Chairmen’s Committee approve proposed combination involving Euronext N.V. and NYSE Group Inc. |
| FSA/PN/001/2007 |
08/01/2007 |
FSA says firms need to improve mortgage advice processes |
