| Ref. |
Date |
Subject |
| 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 |
