2010 2009 2008 2007 2006 2005 2004 2003 2002 2001 2000 1999 1998 1997 1996 1995 1994

Date Subject
December Guidance to Applicants: Designated Systems under the Financial Markets and Insolvency (Settlement Finality) Regulations 1999 [ PDF | 28 KB | 12 pages ]
December The Transfer of the UK Listing Authority to the FSA The Draft Listing Rules
December Senior Management Arrangements, Systems and Controls
December Statement of recommended practice [ PDF | 128 KB | 59 pages ]
December Pensions Review Bulletin (No 7) [ PDF | 20 KB | 2 pages ]
December PIA Regulatory Update 72: Interest Only Mortgages [ PDF | 60 KB | 6 pages ]
December Policy and Resources Committee of the Corporation of London Annual Dinner
December SFA Press release: SFA Disciplinary Appeal Tribunal Written Judgement: SFA - v - Mr Bertrand Fleurose [ PDF | 66 KB | 1 pages ]
December IMRO Press release: IMRO Reprimands City Financial Managers Limited [ PDF | 88 KB | 2 pages ]
December PIA Regulatory Update 71: Year 2000 [ PDF | 55 KB | 4 pages ]
December Handbook Development (Issue 1) [ PDF | 29 KB | 4 pages ]
December Basel Conference
December SFA Board Notice 533: Consultation Document [ PDF | 12 KB | 3 pages ]
December SFA Board Notice 532: Rule Changes - Confirmation of Board Notice 519 [ PDF | 31 KB | 9 pages ]
December The IMRO Reporter: Issue 25 [ PDF | 93 KB | 12 pages ]
December Proshare Annual Awards dinner
November Proposed Amendments to the Regulations for Collective Investment Schemes: Tax Related Amendments [ PDF | 92 KB | 33 pages ]
November Consumer Complaints and the New Single Ombudsman Scheme [ PDF | 186 KB | 65 pages ]
November Training and Competence sourcebook [ PDF | 248 KB | 55 pages ]
November Pensions Review Bulletin (No 6) [ PDF | 28 KB | 4 pages ]
November SFA Board Notice 531: Disciplinary Action [ PDF | 22 KB | 3 pages ]
November SFA Press release: SFA Disciplines 2 Individuals for Improper Behaviour in Connection with Inside Information [ PDF | 65 KB | 1 pages ]
November Chartered Institute of Bankers Westminster lecture
November Speech to Japan Bankers Federation: The Changing Face of International Financial Regulation
November IMRO Press release: IMRO Fines Equitable Unit Trust Managers Limited [ PDF | 71 KB | 2 pages ]
November Address to the Korea Securities Dealers Association and the Korea Stock Exchange: Integrating Financial Regulation in Britain, Korea and the Whole World
November The FSA's Approach to Setting Prudential Standards
October The FSA's regulation of professional firms
October The Permission Regime
October Comparative information for financial services
October SFA Board Notice 530: Disciplinary Action [ PDF | 12 KB | 2 pages ]
October SFA Press release: SFA Disciplines Neil Thorneywork & Hawthorne Securities Limited [ PDF | 70 KB | 2 pages ]
October The Compliance Costs of Extending Financial Regulation to Mortgage Advice (by Europe Economics) - Main Report [ PDF | 258 KB | 56 pages ]
October The Compliance Costs of Extending Financial Regulation to Mortgage Advice (by Europe Economics) - Appendices [ PDF | 139 KB | 53 pages ]
October The Compliance Costs of Extending Financial Regulation to Mortgage Advice (by Europe Economics) - Executive Summary [ PDF | 26 KB | 5 pages ]
October The Compliance Costs of Extending Financial Regulation to Mortgage Advice (by Europe Economics) - Cost Benefit Analysis [ PDF | 147 KB | 47 pages ]
October SFA Board Notice 527: Guidance [ PDF | 6 KB | 1 pages ]
October SFA Board Notice 528: Constitutional Matters [ PDF | 9 KB | 2 pages ]
October SFA Board Notice 529: Guidance [ PDF | 8 KB | 1 pages ]
October APCIMS National Conference: The FSA: Myth and Reality
October Extracts from a speech given by Howard Davies at Xerox UK [ PDF | 9 KB | 1 pages ]
October Fifth Survey of the Persistency of Life and Pensions Policies [ PDF | 135 KB | 37 pages ]
October The FSA Principles for Businesses [ PDF | 91 KB | 30 pages ]
September Pension transfers and opt outs review phase2: target date [ PDF | 75 KB | 27 pages ]
September SFA Press release: SFA Disciplines Trust Financial Group (Europe) Ltd [ PDF | 70 KB | 2 pages ]
September SFA Board Notice 525: Disciplinary Action [ PDF | 14 KB | 2 pages ]
September SFA Board Notice 526: Intervention Order [ PDF | 10 KB | 2 pages ]
September Demos fringe meeting at the Labour Party conference
September UKLA guidance on the combined code and internal controls [ PDF | 12 KB | 2 pages ]
September SFA Press release: SFA Issues Intervention Order Against Marshall French Lucas Ltd [ PDF | 62 KB | 1 pages ]
September IMF/World Bank Seminar - 'Dealing with volatility: The role of risk management'
September SFA Board Notice 524: Constitutional Matters [ PDF | 14 KB | 4 pages ]
September The FSA's approach to giving guidance and waivers to firms [ PDF | 54 KB | 13 pages ]
September Cost-benefit Analysis in Financial Regulation by Isaac Alfon and Peter Andrews [ PDF | 141 KB | 31 pages ]
September Pension transfers and opt-outs review phase 2: target date [ PDF | 72 KB | 27 pages ]
September IMRO Press release: IMRO fines Australia and New Zealand Banking Group Limited £250,000 [ PDF | 73 KB | 3 pages ]
September PIA Regulatory Update 70: Year 2000 [ PDF | 54 KB | 4 pages ]
September SFA Board Notice 523: Rule Modification or Rule 5-49 (transaction reporting) [ PDF | 12 KB | 5 pages ]
September PIA Regulatory Update 69: Mystery Shopping [ PDF | 41 KB | 4 pages ]
September SFA Press release: SFA disciplines SFA Hambros Bank Limited, Nigel Pantling, Peter Large and Andrew Salmon [ PDF | 69 KB | 2 pages ]
September SFA Board Notice 522: Disciplinary Action [ PDF | 19 KB | 4 pages ]
September IMRO Press release: IMRO announces fines for breaches by Prolific Unit Trust Managers Limited and Prolific Objective Unit Trust Management Limited [ PDF | 65 KB | 2 pages ]
September AIFA Launch Conference
September Cost-Benefit Analysis in Financial Regulation - How to do it and how it adds value [ PDF | 112 KB | 31 pages ]
August Pensions review phase 2: report on the production and outcome of the advertising campaign [ PDF | 82 KB | 29 pages ]
August SFA Board Notice 521: Disciplinary Action [ PDF | 14 KB | 2 pages ]
August SFA Press release: SFA disciplines Richard Mark Novack [ PDF | 77 KB | 2 pages ]
August Pensions review phase 2: report on the production and outcome of the advertising campaign [ PDF | 1517 KB | 29 pages ]
August Towards the Millennium - The FSA and the Year 2000 [ PDF | 114 KB | 40 pages ]
August Towards the Millennium - The FSA and the Year 2000
August Free-standing additional voluntary contributions
August Pensions Review Bulletin (No 5) [ PDF | 65 KB | 12 pages ]
August Public Sector Schemes [ PDF | 60 KB | 9 pages ]
August PIA Regulatory Update 68: Professional Indemnity Insurance [ PDF | 93 KB | 12 pages ]
August SFA Board Notice 520: Consultation Document [ PDF | 16 KB | 4 pages ]
August SFA Board Notice 519: Consultation Document [ PDF | 25 KB | 6 pages ]
August SFA Annual Report and Accounts 1999 [ PDF | 93 KB | 31 pages ]
August SFA: Complaints Commissioners & Arbitration Report [ PDF | 73 KB | 23 pages ]
August The Financial Services (Compensation of Investors) (Amendment) Rules 1999 [ PDF | 135 KB | 4 pages ]
July Pension transfers and opt outs review phase 2: Optional simplified approach to testing for Financial Viability of transfer cases
July Pension transfers and opt outs review phase 2: Optional simplified approach to testing for Financial Viability of transfer cases
July Pension transfers and opt outs review phase 2: Optional simplified approach to testing for Financial Viability of transfer cases
July Appendix C - Investor Materials [ PDF | 13 KB | 1 pages ]
July Pension transfers and opt-outs review phase 2: Optional Compliance Test for transfer cases [ PDF | 187 KB | 43 pages ]
July Glossary [ PDF | 12 KB | 2 pages ]
July Factsheet: Pensions Review - Important information about your pension transfer [ PDF | 21 KB | 4 pages ]
July order form for factsheets [ PDF | 12 KB | 1 pages ]
July Introduction - Policy statement and Model Guidance [ PDF | 52 KB | 19 pages ]
July Annex D (Rebate-only) Letter to send to rebate only investors [ PDF | 39 KB | 14 pages ]
July Annex D (Rebate-only) Letter to send to rebate only investors [ PDF | 32 KB | 14 pages ]
July Annex E (Rebate only) [ PDF | 18 KB | 3 pages ]
July Annex E (Rebate only) [ PDF | 6 KB | 1 pages ]
July Annex F (Rebate-only - factsheet respondents) Letter to send to rebate-only investors - factsheets respondents [ PDF | 11 KB | 2 pages ]
July Annex F (Rebate-only - factsheet respondents) Letter to send to rebate-only investors - factsheets respondents [ PDF | 9 KB | 1 pages ]
July Annual Report 1998/99 [ PDF | 408 KB | 132 pages ]
July Annual Report 1998/99 - Summary [ PDF | 424 KB | 27 pages ]
July Letter to send to Investors [ PDF | 19 KB | 1 pages ]
July Investor questionnaire [ PDF | 17 KB | 3 pages ]
July Investor questionnaire [ PDF | 16 KB | 4 pages ]
July Letter to send to Investors
July Enforcing the New Perimeter
July The Regulation of Approved Persons
July IMRO Press release: IMRO fines Pointon York Limited [ PDF | 78 KB | 3 pages ]
July Jersey Financial Services Commission First Anniversary Lecture
July SFA: ISA Compliance Arrangements Review List [ PDF | 26 KB | 8 pages ]
July SFA update 20 - MMC Enquiry into Underwriting Services [ PDF | 67 KB | 11 pages ]
July PIA: The Compensation Scheme Schedule [ PDF | 30 KB | 14 pages ]
July PIA Rule Notice 44: Rule Changes [ PDF | 10 KB | 1 pages ]
June Year 2000: FSA Guidance to Supervisors - Revised Chapter on Business Continuity Planning [ PDF | 639 KB | 62 pages ]
June The Financial Services (Fees) (Amendment No.2) Regulations 1999 [ PDF | 21 KB | 5 pages ]
June Lead Supervision: the FSA's new approach to the co-ordination of its supervision of groups [ PDF | 65 KB | 16 pages ]
June The London Code of Conduct: For principals and broking firms in the wholesale markets [ PDF | 594 KB | 47 pages ]
June The regulation of the wholesale cash and OTC derivative markets under section 43 of the Financial Services Act 1986 (The Grey Paper) [ PDF | 674 KB | 52 pages ]
June Response to Comments on the Discussion Paper: Future Regulation of Inter-professional Business [ PDF | 439 KB | 19 pages ]
June The Financial Services (Open-Ended Investment Companies) Regulations 1997 - Reissued text [ PDF | 261 KB | 125 pages ]
June PIA Regulatory Update 67: Personal Pension Fund Withdrawals [ PDF | 53 KB | 4 pages ]
June SFA Press release: SFA Fines Amir Eilon and Barclays De Zoete Wedd Securities Limited (BZWS) [ PDF | 82 KB | 2 pages ]
June Consumer Compensation: A Further Consultation [ PDF | 152 KB | 63 pages ]
June SFA Board Notice 516: Disciplinary Action [ PDF | 16 KB | 1 pages ]
June The Financial Services (Regulated Schemes) Regulations 1999 - Reissued text [ PDF | 446 KB | 230 pages ]
June SFA Board Notice 517: Guidance [ PDF | 11 KB | 2 pages ]
June SFA Board Notice 518: Rule Changes [ PDF | 20 KB | 7 pages ]
June The Financial Services (Regulated Schemes) (Amendment No.2) Regulations 1999 [ PDF | 13 KB | 3 pages ]
June The Financial Services (Fees) (Amendment) Regulations 1999 [ PDF | 197 KB | 3 pages ]
June FSA High Level Regulatory Conference - The FSA: One year on
June The Grey Paper [ PDF | 650 KB | 52 pages ]
June The London Code of Conduct [ PDF | 575 KB | 47 pages ]
June BIS Consultative Paper - A New Capital Adequacy Framework [ PDF | 146 KB | 62 pages ]
June The IMRO Reporter: Issue 24 [ PDF | 85 KB | 8 pages ]
June PIA Report and financial statements 1999 [ PDF | 164 KB | 36 pages ]
May Consumer Education: A Strategy for Promoting Public Understanding of the Financial System [ PDF | 543 KB | 38 pages ]
May The Rationale for a Single National Financial Services Regulator by Clive Briault [ PDF | 127 KB | 42 pages ]
May Pensions Review Bulletin (No 4) [ PDF | 34 KB | 6 pages ]
May PIA Training and Competence: Information for Existing Advisers on the 30 June 1999 Deadline [ PDF | 99 KB | 4 pages ]
May PIA Regulatory Update 66: Advertising Bond Funds [ PDF | 100 KB | 4 pages ]
May Proposed amendments to the Financial Services (Compensation of Investors) Rules 1994 [ PDF | 519 KB | 6 pages ]
May PIA Regulatory Update 65: Training and Competence: Existing Advisers [ PDF | 105 KB | 5 pages ]
May SFA Board Notice 515: Guidance [ PDF | 11 KB | 1 pages ]
May The Rationale for a Single National Financial Services Regulator [ PDF | 115 KB | 42 pages ]
April IMRO Rule Notice 50: Introduction to Rules Release 8 [ PDF | 101 KB | 8 pages ]
April The Economic Rationale for Financial Regulation by Professor David Llewellyn [ PDF | 265 KB | 60 pages ]
April SFA Board Notice 514: Disciplinary Action [ PDF | 15 KB | 3 pages ]
April SFA Press release: SFA Disciplines William Dootson and Paul Sharples for Dealing on the Basis of Inside Information [ PDF | 70 KB | 2 pages ]
April Conversion of Authorised Unit Trusts to OEICs: Proposed Extension of the Time Limit for Application of Regulation 11.06A (conversion) of the Financial Services (regulated Schemes) Regulations 1991 [ PDF | 246 KB | 6 pages ]
April 'Euro-Regulation' European Financial Forum Lecture
April SFA Press release: SFA Disciplines Leslie Terrence Commons [ PDF | 61 KB | 2 pages ]
April SFA Board Notice 513: Disciplinary Action [ PDF | 14 KB | 2 pages ]
April PIA Rule Notice 43: Rule Changes [ PDF | 18 KB | 6 pages ]
April The Economic Rationale for Financial Regulation [ PDF | 163 KB | 60 pages ]
March Guidance Note 01/99 - The year 2000 issue [ PDF | 15 KB | 5 pages ]
March SFA Board Notice 512: Consultation Document and Guidance [ PDF | 13 KB | 3 pages ]
March The Financial Services (IBRC Interim Authorised Persons) (Amendment) Rules and Regulations 1999 [ PDF | 122 KB | 4 pages ]
March PIA Regulatory Update 64: Advice on Personal Pensions in Advance of the Introduction of Stakeholder Pensions [ PDF | 49 KB | 1 pages ]
March The Qualifying Conditions of Authorisation
March The Banking Supervision (Fees) Regulations 1999 [ PDF | 418 KB | 13 pages ]
March The Financial Services (Fees) Regulations 1999 [ PDF | 1378 KB | 22 pages ]
March SFA Board Notice 509: Rule Changes - Amendments to Appendix 5 [ PDF | 18 KB | 4 pages ]
March SFA Board Notice 510: Rule Change - Amendment to Rule 5-22(7)d) [ PDF | 8 KB | 2 pages ]
March SFA Board Notice 511: Guidance [ PDF | 11 KB | 3 pages ]
March Building the Financial Services Authority: What's New?
March SFA Board Notice 508: Intervention Orders [ PDF | 9 KB | 1 pages ]
March Financial Regulation and the Law
March IMRO Rules Notice 49: Individual Savings Accounts (ISA's) and Projection Rates in Key Features Documents [ PDF | 79 KB | 7 pages ]
March IMRO Financial Rules Bulletin: No. 3 [ PDF | 77 KB | 8 pages ]
February Chartered Institute of Bankers Biennial Dinner
February Simplification of the pension: review loss assessment calculations for transfers
February PIA Regulatory Update 63: Persistency Reporting 1999 Returns [ PDF | 123 KB | 4 pages ]
February Plan and Budget 1999 - 2000 [ PDF | 215 KB | 61 pages ]
February Pensions Review Bulletin (No 3) [ PDF | 35 KB | 6 pages ]
February Financial Services Authority Fees 1999-2000 [ PDF | 3244 KB | 56 pages ]
February SFA Board Notice 506: Rule Changes - Confirmation of Board Notice 499 [ PDF | 14 KB | 3 pages ]
February SFA Board Notice 507: Information [ PDF | 20 KB | 6 pages ]
February China and Britain: the developing financial partnership
February The IMRO Reporter: Issue 23 [ PDF | 117 KB | 12 pages ]
February Friendly Societies Commission Factsheet February 1999 [ PDF | 33 KB | 18 pages ]
February Building Societies Commission Factsheet February 1999 [ PDF | 48 KB | 26 pages ]
February PIA Budget & Fees 1999/2000 [ PDF | 147 KB | 10 pages ]
February PIA: 1998 Disclosure Report - Life Assurance, Unit Trusts, Investment Trust, Saving Schemes & Personal Equity Plans [ PDF | 883 KB | 121 pages ]
February SFA Board Notice 505: Disciplinary Action [ PDF | 17 KB | 3 pages ]
January IMRO Press release: IMRO fines Old Mutual Fund Managers Limited [ PDF | 65 KB | 2 pages ]
January The Financial Services (Conduct of Business) (Amendment) Rules 1999 [ PDF | 136 KB | 4 pages ]
January Year 2000: FSA Guidance to Supervisors [ PDF | 3771 KB | 57 pages ]
January Response to the consultation on phase 2 of the Pensions Review [ PDF | 112 KB | 40 pages ]
January Financial Services (Open-Ended Investment Companies) (Amendment) Regulations 1999 [ PDF | 105 KB | 8 pages ]
January Financial Services (Regulated Schemes) (Amendment) Regulations 1999 [ PDF | 174 KB | 36 pages ]
January Phase 2 quarterly return and notes on completion [ PDF | 62 KB | 21 pages ]
January PIA Regulatory Update 62: Important Notice - Change of Address [ PDF | 188 KB | 8 pages ]
January PIA Regulatory Update 61: Individual Savings Accounts: New Rules and Guidance [ PDF | 182 KB | 10 pages ]
January The Financial Services (Conduct of Business) (ISAs) Rules 1999 [ PDF | 121 KB | 7 pages ]
January The Financial Services (Miscellaneous Provisions) (ISAs) Rules and Regulations 1998 [ PDF | 226 KB | 14 pages ]
January SFA Board Notice 503: Rule Changes - Confirmation of Board Notice 495 [ PDF | 33 KB | 9 pages ]
January SFA Board Notice 504: Intervention Order [ PDF | 9 KB | 1 pages ]
January IMRO Rules Notice 48: Regulation of Individual Savings Accounts (ISAs) [ PDF | 147 KB | 18 pages ]
January IMRO Press release: IMRO fines Lloyds TSB £425,000 [ PDF | 104 KB | 5 pages ]
January SFA Press release: Intervention Order Served on International Futures Corporation Limited [ PDF | 74 KB | 3 pages ]
January The Banking Act 1987
January SFA Press release: Griffin and GLH: an update [ PDF | 66 KB | 3 pages ]
January IMRO Press release: IMRO reprimands Keith Percy former Chief Executive of Morgan Grenfell [ PDF | 129 KB | 9 pages ]
January FSA launches publicity campaign to ask consumers were you mis-sold?
January PIA Rule Notice 42: Addendum to Rule Notices 40 & 41 [ PDF | 31 KB | 8 pages ]
January PIA Rule Notice 41: Rule Changes [ PDF | 102 KB | 31 pages ]
January PIA Rule Notice 40: Rule Changes [ PDF | 629 KB | 115 pages ]
January CAT Standards for Individual Savings Accounts [ PDF | 18 KB | 10 pages ]
January IMRO Fees 1998/99 [ PDF | 51 KB | 4 pages ]