| Ref. |
Date |
Subject |
| FSA/PN/176/2009 |
17 December |
Director fined £75,000 and banned from the industry for lying to FSA |
| FSA/PN/175/2009 |
17 December |
Toronto Dominion fined £7m for repeated failings |
| FSA/PN/174/2009 |
16 December |
FSA bans partner for failing to manage affairs of her mortgage firm properly |
| FSA/PN/173/2009 |
16 December |
FSA consults on raising professional standards for all investment advisers |
| FSA/PN/172/2009 |
11 December |
FSA appoints a new senior advisor |
| FSA/PN/171/2009 |
11 December |
FSA strengthens stress testing regime |
| FSA/PN/170/2009 |
10 December |
Corporate broker intern and his father receive 12 and 24 month prison sentences respectively for insider dealing |
| FSA/PN/169/2009 |
10 December |
FSA consults on strengthening firms' capital standards |
| FSA/PN/168/2009 |
8 December |
FSA publishes feedback statement on remuneration |
| FSA/PN/167/2009 |
7 December |
New Chairman of the Practitioner Panel appointed |
| FSA/PN/166/2009 |
7 December |
FSA bans broker for high pressure sales techniques and widespread systems and controls failings |
| FSA/PN/165/2009 |
2 December |
Insurance broker brothers banned for concealing criminal record from FSA |
| FSA/PN/164/2009 |
1 December |
FSA bans Northern Ireland mortgage broker for failing to treat customers fairly |
| FSA/PN/163/2009 |
30 November |
FSA bans Essex mortgage broker for advice failings and not having appropriate systems and controls in place |
| FSA/PN/162/2009 |
26 November |
FSA appoints senior advisors on governance and authorisation |
| FSA/PN/161/2009 |
24 November |
FSA fines Nomura £1.75 million for inadequate systems and controls |
| FSA/PN/160/2009 |
23 November |
Macro prudential tools vital to future financial stability |
| FSA/PN/159/2009 |
17 November |
FSA fines former stockbroker £24,000 for market abuse |
| FSA/PN/158/2009 |
13 November |
Jon Pain addresses mortgage industry on FSA's mortgage market review proposals |
| FSA/PN/157/2009 |
13 November |
FSA fines and bans former UBS employee for helping conceal unauthorised trading losses |
| FSA/PN/156/2009 |
11 November |
Mortgage broker banned for concealing true nature of governance arrangements from the FSA and for mortgage fraud |
| FSA/PN/155/2009 |
11 November |
FSA proposes to strengthen prudential standards for credit unions |
| FSA/PN/154/2009 |
10 November |
FSA to simplify system for calculating regulatory fees |
| FSA/PN/153/2009 |
9 November |
FSA chief says cultural change needed to drive reform |
| FSA/PN/152/2009 |
6 November |
Arrest made as FSA continues clamp down on share fraud |
| FSA/PN/151/2009 |
6 November |
FSA sets out new prudential regime for personal investment firms |
| FSA/PN/150/2009 |
5 November |
FSA fines UBS £8million for failing to prevent employees carrying out unauthorised transactions with customer money |
| FSA/PN/149/2009 |
4 November |
Former corporate broker intern and father found guilty of insider dealing |
| FSA/PN/148/2009 |
2 November |
FSA chairman says 'no silver bullet' to address 'too-big-to-fail' challenge |
| FSA/PN/147/2009 |
29 October |
GMAC-RFC Limited fined £2.8million for unfair treatment of customers in arrears and repossessions and will pay up to £7.7m customer redress |
| FSA/PN/146/2009 |
28 October |
FSA begins new banking regulation to promote fairness for consumers |
| FSA/PN/145/2009 |
28 October |
Swinton to offer refunds on over 480,000 PPI policies following FSA intervention |
| FSA/PN/144/2009 |
27 October |
FSA takes action to help investors with Lehman-backed structured products |
| FSA/PN/143/2009 |
26 October |
FSA announces tough new code for financial reporting disclosure |
| FSA/PN/142/2009 |
22 October |
FSA publishes further analysis on systemically important banks and the cumulative impact of capital and liquidity reform |
| FSA/PN/141/2009 |
21 October |
FSA bans another East London broker for mortgage fraud |
| FSA/PN/140/2009 |
19 October |
FSA sets out major reforms for the mortgage market |
| FSA/PN/139/2009 |
14 October |
FSA outlines its approval and interview process for significant influence functions |
| FSA/PN/138/2009 |
13 October |
FSA makes four new appointments to the Consumer Panel |
| FSA/PN/137/2009 |
12 October |
FSA bans East London mortgage broker for misleading lenders |
| FSA/PN/136/2009 |
8 October |
FSA fines Seymour Pierce £154,000 for failing to prevent employee fraud |
| FSA/PN/135/2009 |
7 October |
FSA and firms reach agreement on MPPI |
| FSA/PN/134/2009 |
7 October |
Dresdner traders censured for abuse in debt market |
| FSA/PN/133/2009 |
6 October |
FSA chairman outlines factors for successful European regulation |
| FSA/PN/132/2009 |
5 October |
FSA finalises far-reaching overhaul of UK liquidity regulation |
| FSA/PN/131/2009 |
1 October |
FSA sets out policy on short selling |
| FSA/PN/130/2009 |
30 September |
FSA publishes feedback to the Turner Review and associated discussion paper |
| FSA/PN/129/2009 |
29 September |
FSA unveils tough measures to protect PPI consumers |
| FSA/PN/128/2009 |
28 September |
FSA proposes significant strengthening of protections for sale and rent back customers |
| FSA/PN/127/2009 |
23 September |
FSA reaffirms approach to consumer responsibilities |
| FSA/PN/126/2009 |
22 September |
FSA chairman insists that the momentum for reform must be maintained |
| FSA/PN/125/2009 |
17 September |
Sally Dewar addresses FSA Asset Management Sector conference |
| FSA/PN/124/2009 |
16 September |
FSA and SEC discuss approaches to global regulatory requirements |
| FSA/PN/123/2009 |
16 September |
FSA warns penny share customers |
| FSA/PN/122/2009 |
15 September |
FSA bans mortgage broker for inadequate controls at his firm |
| FSA/PN/121/2009 |
11 September |
FSA update on Lehmans-backed structured products |
| FSA/PN/120/2009 |
10 September |
Mortgage broker fined £6,000 by court in FSA's first criminal prosecution for change of control failures |
| FSA/PN/119/2009 |
10 September |
FSA and ABI launch pension calculator to help people plan for retirement |
| FSA/PN/118/2009 |
9 September |
FSA fines firm £14,000 for financial advice failings |
| FSA/PN/117/2009 |
8 September |
FSA fines Barclays £2.45m for failures in transaction reporting |
| FSA/PN/116/2009 |
3 September |
FSA publishes industry-level complaints data to increase transparency |
| FSA/PN/115/2009 |
2 September |
FSA fines broker for failing to prevent insider dealing |
| FSA/PN/114/2009 |
1 September |
FSA takes action against chief executive of mortgage network for poor controls over appointed representatives |
| FSA/PN/113/2009 |
27 August |
FSA appoints Julian Adams as director of retail firms division |
| FSA/PN/112/2009 |
25 August |
FSA fines director for not disclosing information about adviser |
| FSA/PN/111/2009 |
20 August |
FSA and CFTC to enhance regulatory cooperation and cross-border surveillance of oil markets |
| FSA/PN/110/2009 |
19 August |
FSA provides clarity for activist shareholders |
| FSA/PN/109/2009 |
19 August |
FSA bans and fines mortgage broker £70,000 for mortgage fraud |
| FSA/PN/108/2009 |
12 August |
FSA confirms introduction of remuneration code of practice |
| FSA/PN/107/2009 |
4 August |
FSA fines and bans Newcastle Home Loans and its directors for false information in mortgage applications |
| FSA/PN/106/2009 |
3 August |
FSA bans Cornwall mortgage broker for fraud |
| FSA/PN/105/2009 |
30 July |
FSA imposes public censure on Cheshire Life & Pensions |
| FSA/PN/104/2009 |
27 July |
FSA confirms changes to the rules for approved persons |
| FSA/PN/103/2009 |
24 July |
FSA confirms transfer of business of Britannia Building Society to the Co-operative Bank plc |
| FSA/PN/102/2009 |
24 July |
FSA confirms changes to with-profits rules |
| FSA/PN/101/2009 |
24 July |
FSA announces changes to the Financial Services Compensation Scheme |
| FSA/PN/100/2009 |
22 July |
FSA grants new waiver to firms on complaints handling |
| FSA/PN/099/2009 |
22 July |
HSBC firms fined over £3m for information security failings |
| FSA/PN/098/2009 |
21 July |
FSA fines and bans directors for mismanaging investment scheme and fines firm for financial promotions failings |
| FSA/PN/097/2009 |
17 July |
FSA appoints Gareth Adams as senior advisor |
| FSA/PN/096/2009 |
15 July |
FSA bans director for inadequate control of his firm and winds up the business |
| FSA/PN/095/2009 |
15 July |
Empowering consumers through improving financial capability |
| FSA/PN/094/2009 |
13 July |
FSA bans Essex mortgage broker for fraud |
| FSA/PN/093/2009 |
9 July |
FSA bankrupts fraudulent mortgage broker for non-payment of financial penalty |
| FSA/PN/092/2009 |
9 July |
FSA plans better information for consumers on firms' complaints handling |
| FSA/PN/091/2009 |
6 July |
FSA proposes bigger fines to achieve credible deterrence |
| FSA/PN/090/2009 |
3 July |
FSA bans East London mortgage broker for fraud |
| FSA/PN/089/2009 |
2 July |
Adam Phillips appointed Chairman of Financial Services Consumer Panel |
| FSA/PN/088/2009 |
2 July |
Financial Services Authority announces final stage of operational reforms with new integrated operating structure |
| FSA/PN/087/2009 |
2 July |
FSA fines director for appointed representative control failings |
| FSA/PN/086/2009 |
30 June |
FSA chairman tells bankers radical changes in regulation essential |
| FSA/PN/085/2009 |
29 June |
Lord Turner appointed chair of FSB's Standing Committee for Supervisory and Regulatory Co-operation |
| FSA/PN/084/2009 |
26 June |
UK short selling disclosure regime extended |
| FSA/PN/083/2009 |
26 June |
FSA bans director for inadequate supervision of his firm |
| FSA/PN/082/2009 |
25 June |
FSA details the enhanced standards people can expect from all investment advisers |
| FSA/PN/081/2009 |
24 June |
FSA publishes Annual Report for 2008/09 |
| FSA/PN/080/2009 |
22 June |
FSA refers firms to enforcement in clampdown on poor mortgage arrears handling |
| FSA/PN/079/2009 |
16 June |
Finance director and two lawyers charged with insider dealing |
| FSA/PN/078/2009 |
16 June |
FSA bans South London mortgage broker for fraud |
| FSA/PN/077/2009 |
15 June |
New Insurance Sector Director at the FSA |
| FSA/PN/076/2009 |
10 June |
FSA bans broker for failings on mortgage fraud prevention |
| FSA/PN/075/2009 |
9 June |
Britannia Building Society and Co-operative Financial Services Limited/Co-operative Bank plc: Confirmation Hearing Details |
| FSA/PN/074/2009 |
8 June |
Keydata Investment Services Ltd |
| FSA/PN/073/2009 |
5 June |
FSA consults on additional guidance for building societies |
| FSA/PN/072/2009 |
4 June |
FSA proposes extension of separate deposit protection limits |
| FSA/PN/071/2009 |
3 June |
FSA to protect sale and rent back customers |
| FSA/PN/070/2009 |
1 June |
Financial Services Compensation Scheme Board appointments |
| FSA/PN/069/2009 |
1 June |
FSA proposes to extend short selling disclosure regime |
| FSA/PN/068/2009 |
28 May |
FSA statement on its use of stress tests |
| FSA/PN/067/2009 |
28 May |
Six arrested in FSA insider dealing investigation |
| FSA/PN/066/2009 |
26 May |
FSA bans and fines trader £140,000 for unauthorised 'pre-hedging' |
| FSA/PN/065/2009 |
20 May |
FSA bans trader for concealing his trading position |
| FSA/PN/064/2009 |
14 May |
FSA bans Bradford mortgage broker for mortgage fraud |
| FSA/PN/063/2009 |
13 May |
FSix arrested in FSA insider dealing investigationSA fines Morgan Stanley £1.4m for failing to prevent trader mis-marking and fines and bans Matthew Sebastian Piper |
| FSA/PN/062/2009 |
12 May |
Lord Turner addresses FSA mortgage conference |
| FSA/PN/061/2009 |
11 May |
FSA bans and fines mortgage broker £101, 279 for fraud |
| FSA/PN/060/2009 |
7 May |
FSA calls for more effective governance and risk management at firms |
| FSA/PN/059/2009 |
6 May |
Seven arrests in FSA operation on boiler rooms |
FSA/PN/058/2009 |
30 April |
FSA bans East London mortgage broker for involvement with fraud |
FSA/PN/057/2009 |
29 April |
Hedge fund manager banned and fined £35,000 for mismarking trading positions to hide losses |
FSA/PN/056/2009 |
27 April |
FSA chairman expands on themes from Turner Review |
FSA/PN/055/2009 |
27 April |
Over 65s most likely to be targeted by share fraudsters, warns FSA |
| FSA/PN/054/2009 |
24 April |
FSA implements changes to simplify Financial Services Compensation Scheme |
| FSA/PN/053/2009 |
24 April |
New banking regulation promotes fairness for consumers |
| FSA/PN/052/2009 |
16 April |
FSA bans and fines mortgage broker £100,000 for fraud |
| FSA/PN/051/2009 |
14 April |
Real help for North West and North East through £12m Moneymadeclear service pathfinder |
| FSA/PN/050/2009 |
9 April |
FSA confirms Industry Guidance designed to help more efficient transfer of investment fund units |
| FSA/PN/049/2009 |
8 April |
FSA bans directors of mortgage firm for failings on financial crime prevention |
| FSA/PN/048/2009 |
6 April |
FSA wins case to ban former chief executive of Gen Re business unit |
| FSA/PN/047/2009 |
6 April |
FSA bans director for advice failings |
| FSA/PN/046/2009 |
2 April |
FSA wins market abuse case against Winterflood |
| FSA/PN/045/2009 |
31 March |
Two arrested in FSA insider dealing investigation |
| FSA/PN/044/2009 |
31 March |
FSA consults on extra deposit protection for temporary high balances |
| FSA/PN/043/2009 |
30 March |
FSA bans London mortgage broker for fraud |
| FSA/PN/042/2009 |
27 March |
Solicitor and his father-in-law found guilty in FSA insider dealing case |
| FSA/PN/041/2009 |
24 March |
FSA censures broker for advice failings on self-certified mortgages |
| FSA/PN/040/2009 |
20 March |
FSA confirms Scarborough Building Society merger with the Skipton Building Society |
| FSA/PN/039/2009 |
19 March |
FSA fines insurance claims handler for network control failings and for misleading clients |
| FSA/PN/038/2009 |
18 March |
FSA publishes consultation paper on remuneration |
| FSA/PN/037/2009 |
18 March |
The FSA publishes "The Turner Review": a wide-ranging review of global banking regulation |
| FSA/PN/036/2009 |
11 March |
Renbe Associates banned for submitting false and misleading information to the FSA |
FSA/PN/035/2009 |
9 March |
FSA continues to strengthen enforcement team |
FSA/PN/034/2009 |
3 March |
New Contracts for Difference disclosure regime to take effect in June |
| FSA/PN/033/2009 |
2 March |
FSA bans Wakefield mortgage broker for fraud |
FSA/PN/032/2009 |
26 February |
FSA publishes code of practice on remuneration policies |
| FSA/PN/031/2009 |
24 February |
FSA wants all firms to stop selling single premium PPI |
| FSA/PN/030/2009 |
23 February |
FSA consults further on change to with-profits rules |
| FSA/PN/029/2009 |
17 February |
FSA appoints Mark Norris as chief operating officer |
| FSA/PN/028/2009 |
17 February |
FSA plans proportionate regime for regulating Reclaim Funds |
| FSA/PN/027/2009 |
16 February |
FSA bans broker for mortgage fraud |
| FSA/PN/026/2009 |
12 February |
FSA publishes its 2009/10 Business Plan |
| FSA/PN/025/2009 |
9 February |
FSA publishes Financial Risk Outlook |
| FSA/PN/024/2009 |
9 February |
FSA secures over £1 million for victims of share scam |
| FSA/PN/023/2009 |
6 February |
FSA proposes enhanced transparency requirements on short selling for all stocks |
| FSA/PN/022/2009 |
6 February |
FSA regulation aims to address consumer problems in sale and rent back market |
| FSA/PN/021/2009 |
4 February |
FSA fines AIM company director for market abuse |
| FSA/PN/020/2009 |
30 January |
Scarborough and Skipton Building Societies: merger confirmation hearing |
| FSA/PN/019/2009 |
30 January |
FSA fines broker for advice failings on self-certified mortgages |
| FSA/PN/018/2009 |
28 January |
Pacific Continental former chief executive and former finance director both banned and fined £80,000 and £95,000 |
| FSA/PN/017/2009 |
26 January |
FSA bans Liverpool mortgage adviser |
| FSA/PN/016/2009 |
26 January |
Legacy Financial Planning Ltd fined £28,000 for failing to adequately explain risk to investors |
| FSA/PN/015/2009 |
23 January |
Entertainment Rights plc fined £245,000 for 78 days delay in disclosing inside information |
| FSA/PN/014/2009 |
22 January |
FSA extends waiver to firms on complaints handling |
| FSA/PN/013/2009 |
21 January |
FSA chairman sets out agenda for reforming financial regulation |
| FSA/PN/012/2009 |
20 January |
Update on FSA work on the sale of PPI |
| FSA/PN/011/2009 |
20 January |
Wolfson fined £140,000 for delaying disclosure of inside information |
| FSA/PN/010/2009 |
19 January |
FSA bans and fines broker £101,106 for mortgage fraud – also bans second broker |
| FSA/PN/009/2009 |
14 January |
FSA confirms extension of short selling disclosure regime |
| FSA/PN/008/2009 |
14 January |
Belgian private investor fined £176,254 for market abuse |
| FSA/PN/007/2009 |
13 January |
FSA and HM Treasury announce partners to help deliver Money Guidance |
| FSA/PN/006/2009 |
12 January |
FSA proposes to reduce rights issue subscription periods |
| FSA/PN/005/2009 |
9 January |
FSA clarifies disclosure requirements for directors |
| FSA/PN/004/2009 |
8 January |
FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls |
| FSA/PN/003/2009 |
7 January |
FSA consults on changes to financial compensation scheme |
| FSA/PN/002/2009 |
7 January |
Insider Dealing: Financial Services Authority prosecutes Mr Neil Rollins |
| FSA/PN/001/2009 |
5 January |
FSA proposes to extend short selling disclosure regime |
