| Date |
Type |
Subject |
| December |
Summary Board minutes |
December Board summary minutes [PDF] |
| December |
Supervisory Notice |
Theophilus Folagbade Sonaike (trading as F T Insurance Services) |
| December |
FSA Statement |
Carl Rigby and Gareth Bailey - update |
| December |
Press release |
FSA fines finance director £25,000 for market abuse |
| December |
Final Notice |
Jonathan Malins [ PDF ] |
| December |
Dear CEO letter |
Transaction reporting [PDF] |
| December |
Handbook Notice |
Handbook Notice 50 [ PDF] |
| December |
Feedback statement |
FS05/2: Stress testing - Feedback on DP05/02 |
| December |
Press release |
FSA calls for networks to improve control over Appointed Representatives |
| December |
Miscellaneous document |
Controlling appointed representatives: Factsheet for general insurance, mortgage and investment networks [PDF] |
| December |
Press release |
Community and voluntary organisations benefit from FSA's Innovation Fund awards |
| December |
Press release |
FSA proposes "no change" in compensation and Ombudsman payment limits - but consults on specific issues |
| December |
Consultation paper |
CP05/15: Review of Compensation Scheme and Ombudsman Service limits and miscellaneous amendments to the Compensation sourcebook |
| December |
Press release |
FSA fines HSBC £100,000 for transaction reporting breaches |
| December |
Press release |
Tripartite Authorities assess the resilience of the UK financial sector |
| December |
Newsletter |
Financial Promotions mortgage and general insurance bulletin (Issue 4) [PDF] |
| December |
Record of meeting |
Contract certainty in the insurance market |
| December |
Press release |
FSA appoints new Compensation Scheme Board chairman |
| December |
Press release |
FSA finds small IFA firms are handling mortgage endowment complaints well but some issues remain |
| December |
Press release |
FSA censures Eurodis for listing rules breach |
| December |
Final Notice |
Eurodis Electron plc [ PDF ] |
| December |
Press release |
FSA keeps 600 'rogue' M&GI firms out of the industry |
| December |
Dear CEO letter |
General insurance disclosure documentation [PDF]
To the Chief Executives of all general insurance companies doing business with retail customers within our Retail Markets Business Unit |
| December |
Speech by Dan Waters |
What lessons can be learned from national regulation on mortgage credit? |
| December |
Newsletter |
MarketWatch Issue No.14 [PDF] |
| December |
Speech by David Kenmir |
How can the industry help shape regulation? |
| December |
Speech by Callum McCarthy |
FSA mortgage regulation - one year on |
| December |
Press release |
New practice will better protect consumers from cheque fraud |
| December |
Speech by Sarah Wilson |
General insurance regulation |
| December |
Speech by Hector Sants |
Fighting financial crime: The progress and the challenges ahead |
| December |
Speech by Hector Sants |
The challenges of regulating wholesale markets in Europe |
| December |
Newsletter |
Asset Management Newsletter - Issue 2 [ PDF ] |
| December |
Newsletter |
Financial advisers in small retail firms newsletter [PDF] |
| December |
Press release |
Reinsurance brokers agree not to undertake any regulated activity for two years |
| December |
FSA Statement |
FSA public statement on the broking of alternative risk transfer (ART) insurance |
| December |
Miscellaneous |
Integrated Regulatory Reporting update |
| December |
Press release |
Financial Services Authority sets out road map to better regulation |
| December |
Miscellaneous document |
Better Regulation Action Plan [PDF] |
| December |
Press release |
FSA imposes a public censure on Berkeley Independent Advisers Limited |
| December |
Final notice |
Berkeley Independent Advisers Limited [ PDF ] |
| November |
Board summary minutes |
November Board summary minutes [PDF] |
| November |
Final notice |
James Mabon [ PDF ] |
| November |
Final notice |
John Suter Associates [PDF] |
| November |
Final notice |
Asset Property Investments Limited [PDF] |
| November |
EU information |
UK Response to Commission Green Paper on Mortgage Credit in the EU [PDF] |
| November |
Newsletter |
Financial Crime Newsletter - Issue 4 [PDF] |
| November |
Press release |
FSA releases sector briefing on closed with-profits funds |
| November |
Miscellaneous document |
Insurance Sector Briefing: Update on closed with-profit funds [PDF] |
| November |
Speech by Callum McCarthy |
The challenges of regulating wholesale markets in Europe. |
| November |
Speech by David Strachan |
A regulatory update on closed with-profits funds |
| November |
Speech by John Tiner |
The future of financial regulation in Europe |
| November |
Press release |
Solicitor found liable for assisting a boiler room share scam |
| November |
Speech by Thomas Huertas |
Issues of mutual interest to the FSA and the Asset Management Community |
| November |
Speech by Callum McCarthy |
Regulating in two industries |
| November |
Speech by Clive Briault |
Financial conglomerates from a prudential supervisor's perspective |
| November |
Dear CEO letter |
Conflicts of interest [ PDF ] |
| November |
Miscellaneous document |
Key points raised at the FSA seminar on trading transparency in secondary bond markets |
| November |
Speech by Clive Briault |
State of the Nation |
| November |
Speech by Clive Briault |
Life Actuarial Challenges: An FSA perspective |
| November |
Speech by David Kenmir |
Current and Future Regulatory Issues |
| November |
Final Notice |
Fitzgerald's [ PDF ] |
| November |
Newsletter |
Small mortgage intermediaries newsletter - Issue 1 [PDF] |
| November |
Newsletter |
List! Issue No.11 Supplementary Edition [PDF] |
| November |
Press release |
FSA warns industry to address VCT promotions failings |
| November |
Press release |
FSA urges firms to begin planning for MiFID |
| November |
EU information |
Planning for MiFID [PDF] |
| November |
Corporate document |
International Regulatory Outlook [PDF] |
| November |
Handbook Notice |
Handbook Notice 49 [ PDF] |
| November |
Newsletter |
Handbook Development (Issue 69) [ PDF ] |
| November |
Approved person refusal |
Ray Khadivi [ PDF ] |
| November |
Miscellaneous document |
Insurance Sector Briefing: ICAS - one year on [PDF] |
| November |
Press release |
FSA fines UBS £100,000 for transaction reporting breaches |
| November |
Press release |
General insurance perimeter presents positive picture |
| November |
Final Notice |
UBS AG [ PDF ] |
| November |
Speech by Philip Robinson |
Fighting financial crime together |
| November |
Dear CEO letter |
Senior management responsibilities: Conflicts of interest and non-standard transactions [ PDF ] |
| November |
Final Notice |
Wayne Mark Robbins [PDF] |
| November |
Speech by Hector Sants |
Keynote address on regulatory cooperation |
| November |
Speech by Rebecca Jones |
Results of the initial consultation on 'Hedge funds: A discussion of risk and regulatory engagement' |
| November |
Newsletter |
Newsletter for small retail general insurance brokers - Issue 1 [ PDF ] |
| November |
Speech by Vernon Everitt |
The retail environment |
| November |
Speech by Callum McCarthy |
FSA Financial Crime Conference |
| November |
Speech by John Tiner |
CEA/Geneva Association Seminar on Solvency 2 |
| November |
Press release |
FSA finds improvements from lenders but mixed results for brokers in self-certification mortgages |
| November |
Miscellaneous document |
Self-certification mortgage lender research - Results of thematic work [PDF] |
| November |
Consumer research paper |
The sale of self-certification mortgages - mystery shopping results [PDF] |
| November |
Press release |
Former AIT directors ordered to compensate investors |
| November |
Dear CEO letter |
Sale of Payment Protection Insurance [PDF] |
| November |
Application refusal |
Raymond Khadivi [PDF] |
| November |
Press release |
Kings fined £60,000 for financial promotions failings |
| November |
Final Notice |
Kings [PDF] |
| November |
Press release |
FSA closes enquiries into Shell individuals |
| November |
Press release |
FSA fines bond broker and managing director for anti-money laundering failures |
| November |
Final notice |
Investment Services UK Limited and Mr Ram Melwani [PDF] |
| November |
Press release |
Reviews of M&GI regimes - FSA sets out more detail |
| November |
Miscellaneous document |
Analysis of activity in the energy markets 2005 [PDF] |
| November |
Press release |
FSA update on payment protection insurance (PPI) |
| November |
Miscellaneous document |
The sale of payment protection insurance – results of thematic work [PDF] |
| November |
Miscellaneous document |
FSA plans for professional training
Broadcast transcript: Edward Harley, General Council Division, FSA on BBC Radio 4 - You and Yours programme |
| November |
Consumer research |
The sale of payment protection insurance – mystery shopping results [PDF] |
| November |
Miscellaneous document |
Information for investment firms on the FSA's implementation of the Capital Requirements Directive [PDF]
Letter to investment firms |
| November |
Corporate document |
James Ferguson Financial Services [ PDF ] |
| October |
Board summary minutes |
October Board summary minutes [PDF] |
| October |
Approved person refusal |
James Austin Caviel [ PDF ] |
| October |
Press release |
FSA reports on its performance |
| October |
EU document |
A framework for Guarantee Schemes in the EU: A discussion paper [PDF] Prepared jointly by the Treasury, Financial Services Authority (FSA) and the Bank of England |
| October |
Press release |
17 June 2005 Quarterly Expiry |
| October |
Press release |
FSA updates guide to help employers promote pensions schemes |
| October |
Press release |
New Vice Chairman of Financial Services Consumer Panel |
| October |
Press release |
FSA bares all in new mortgage website for consumers |
| October |
Final Notice |
Redcliffe Associates Partnership Limited [PDF] |
| October |
Newsletter |
General Insurance Newsletter - Issue 7 [ PDF ] |
| October |
Newsletter |
Life Insurance Newsletter - Issue 5 [ PDF ] |
| October |
Handbook publication |
Handbook Notice 48 [PDF] |
| October |
Speech by Julian Adams |
Reform: The Regulator's View |
| October |
Application Refusal |
Homebuyers (West Country) Limited |
| October |
Application Refusal |
Homebuyers Financial Services (London) Limited |
| October |
Approved Person Refusal |
Peter Taylor (Homebuyers (West Country) Limited) |
| October |
Approved Person Refusal |
Peter Taylor (Homebuyers Financial Services (London) Limited) |
| October |
Press release |
FSA takes next steps in reforming its enforcement process |
| October |
Policy statement |
Enforcement Process Review. Handbook changes - Feedback on CP05/11 and made text |
| October |
Handbook publication |
Handbook Development (Issue 68) [PDF] |
| October |
Speech by Callum McCarthy |
Translating Europe into the UK |
| October |
Press release |
FSA looks for improvement in general insurance documents given to customers |
| October |
Miscellaneous document |
Information needed on firms in a financial crisis: ‘Factbooks’ |
| October |
Miscellaneous document |
Insurance Sector Briefing: Principles & Practices of Financial Management [PDF] |
| October |
Miscellaneous document |
Prudential International undertaking [PDF] |
| October |
Miscellaneous document |
Basic Advice for Stakeholder products - frequently asked questions |
| October |
Speech by David Strachan |
Challenges for the insurance industry |
| October |
Speech by Andrew Whittaker |
The road to better regulation |
| October |
Speech by Ian Tower |
Regulation of Friendly Societies |
| October |
Application refusal |
Intelligent Insurance Services [ PDF ] |
| October |
Press release |
FSA fines GoshawK Syndicate Management Limited £220,000 for systems and control failures |
| October |
Final notice |
GoshawK Syndicate Management Limited [ PDF ] |
| October |
Press release |
FSA consults on rules for disclosure of financial reinsurance |
| October |
Pensions publication |
Promoting pensions to employees - A guide for employers [PDF] |
| October |
Speech by Andrew Honey |
Insurance: progress and the future |
| October |
Consultation paper |
CP05/14: Quarterly consultation (No.6) |
| October |
Final Notice |
India Buildings Friendly Society |
| October |
Final Notice |
Morrow Personal Financial Planning Friendly Society |
| October |
Press release |
Former directors sentenced for criminal market abuse |
| October |
Dear CEO letter |
Outsourcing by Recognised Bodies [PDF] |
| October |
Newsletter |
List! Issue No.11 [PDF] |
| October |
Press release |
Industry progress on Treating Customers Fairly |
| October |
Speech by Clive Briault |
Treating customers fairly: progress and future plans |
| October |
Board summary minutes |
September Board summary minutes [ PDF ] |
| September |
Application refusal |
Prominence Technology Limited (PTL) [PDF] |
| September |
Approved person refusal |
Samson Sonibare [PDF] |
| September |
Press release |
FSA publishes proposals for fund disclosures to retail clients |
| September |
Press release |
FSA closes enquiry into Chelsea Village plc |
| September |
Consultation paper |
CP05/13: Bundled brokerage and soft commission arrangements for retail investment funds |
| September |
Policy Statement |
PS05/10: Feedback on CP05/4 FSMA 2 year review |
| September |
Speech by Callum McCarthy |
Institute of International Bankers - Washington |
| September |
Final Notice |
Williams, Stewart James (trading as S & J Consultants) [PDF] |
| September |
Speech by Clive Briault |
Views from a regulatory perspective |
| September |
Press release |
FSA Managing Director tells of challenges to firms in inaugural speech in Northern Ireland |
| September |
Speech by John Tiner |
IASB meeting with World Standard setters |
| September |
Speech by John Tiner |
Financial Services sector regulation and internal audit |
| September |
Final Notice |
Athenaeum Capital LLP [PDF] |
| September |
Press release |
Director appointments |
| September |
Press release |
FSA announces review of general insurance regulation |
| September |
Speech by Clive Briault |
General insurance regulation "FSA - View from the top" |
| September |
Press release |
FSA tell firms: Make sure you are ready for A-day |
| September |
Speech by Sarah Wilson |
Strategic challenge and treating customers fairly |
| September |
Newsletter |
Credit union newsletter (Issue 1) [PDF] |
| September |
Final Notice |
Steven Barry Ringer [PDF] |
| September |
Speech by Callum McCarthy |
Mansion House speech |
| September |
Final Notice |
Fazil Kazmy (trading as Premier Management Services) [PDF] |
| September |
Speech by Katherine Webster |
Fairness in consumer contracts |
| September |
Speech by Hector Sants |
Overview of DP05/3 and DP05/4 |
| September |
Miscellaneous document |
Response to DTI consultation on the establishment of the Consumer and Trading Standards Agency |
| September |
Press release |
FSA fines CFS Independent Limited for serious risk management and compliance failures |
| September |
Speech by John Tiner |
Asset management: Current Challenges and the hedge funds debate |
| September |
Handbook publication |
Handbook Notice 47 [PDF] |
| September |
Press release |
FSA publishes Feedback Statement to CP05/3, 'Strengthening Capital Standards' |
| September |
Press release |
FSA bans former director of IFA firm for management failings |
| September |
Final notice |
Idris Nagaty [PDF] |
| September |
Handbook publication |
Handbook Development (Issue 67) [PDF] |
| September |
Speech by Callum McCarthy |
Retail financial services |
| September |
Consumer Research |
Young people (18-24) and their financial information needs [PDF] |
| September |
Speech by Philip Robinson |
Organised crime and terror - the risks to the business environment |
| September |
Final notice |
CFS Independent Limited [ PDF ] |
| September |
Statement |
Sir Philip Watts' reference to the Financial Services and Markets Tribunal |
| September |
Application refusal |
Kendall Becker [PDF] |
| September |
Application refusal |
JR Residential & Commercial Mortgages (LLC) Limited [PDF] |
| September |
Approved persons refusal |
Stuart Becker [PDF] |
| September |
Approved persons refusal |
Paul Arabskyj [PDF] |
| September |
Newsletter |
Retail Intermediaries Sector Newsletter Issue No. 5 [PDF] |
| September |
Miscellaneous document |
Hector Sants' comments on the FTSE Index Contracts Expiry Mechanism |
| September |
Speech by John Tiner |
Regulation and Consolidation in the Financial Industry |
| September |
Speech by Callum McCarthy |
Implementing the Financial Stability Mandate - UK |
| September |
Press release |
FSA finds mixed picture on sub-prime mortgage compliance |
| September |
Press release |
FSA to examine secondary bond market transparency |
| September |
Final Notice |
Ian Gillings [PDF] |
| August |
Second Supervisory Notice |
Williams, Stewart James (trading as S & J Consultants) |
| August |
Supervisory Notice |
Ferguson, James t/a James Ferguson Financial Services [PDF] |
| August |
Supervisory Notice |
Brentwood Financial Services Ltd [PDF] |
| August |
Miscellaneous document |
Email to the IFA Defense Union |
| August |
Discussion paper |
DP05/5: Trading transparency in the UK secondary bond markets |
| August |
Bulletin |
Financial Promotions mortgage and general insurance bulletin [PDF] |
| August |
Handbook release |
Handbook release 42 - June 2005 |
| August |
Handbook release |
Handbook release 41 - May 2005 |
| August |
Press release |
FSA action ensures regulated firms meet minimum standards |
| August |
Application refusal |
MCW Insurance Intermediaries Ltd [PDF] |
| August |
Research paper |
Advice and the best way of delivering it: Literature survey for the Financial Capability Generic Advice Project [PDF] |
| August |
Pension publication |
Contracting out of the additional state pension |
| August |
Report |
Financial Capability: developing the role of generic financial advice [PDF] |
| August |
Corporate document |
Memorandum of understanding between the Association of Chief Police Officers [PDF] |
| August |
Bulletin |
Authorisation cases bulletin - Issue No.3 [PDF] |
| August |
Press release |
FSA publishes guide for consumers on financial advice |
| August |
Press release |
FSA secures convictions in first criminal market abuse case |
| August |
Press release |
New Consumer Panel Chairman appointed |
| August |
Application refusal |
PSD News bulletin (Issue 4) [PDF] |
| August |
UKLA publication |
PIP service criteria and Regulatory Headline Categories [PDF]
Procedures in relation to applications for the approval of services provided by a Primary Information Provider (“PIP”) |
| August |
Application refusal |
Martin Ash [ PDF ] |
| August |
Press release |
FSA mystery shopping finds mortgage firms are not providing key documents |
| August |
Research paper |
Mortgage Disclosure: mystery customer research report [PDF] |
| August |
Final Notice |
Michael David Hart [PDF] |
| August |
Newsletter |
FSA Connections - Issue No.11 [PDF] |
| August |
Newsletter |
MarketWatch Issue No.13 [PDF] |
| August |
Press release |
FSA warns about unauthorised motor 'insurer' |
| August |
Newsletter |
Retail Intermediaries Sector Newsletter Issue No. 4
Special Edition: Client money [PDF] |
| August |
Letter |
Letter from FSA to British Bankers Association re Covered Bonds Issuance [PDF] |
| August |
Press release |
FSA restricts Jonathan Elms following pensions review failures |
| August |
Press release |
FSA fines Bear Stearns for transaction reporting failures |
| August |
Final Notice |
Jonathan Paul Elms [PDF] |
| August |
Final Notice |
Bear, Stearns International Limited [PDF] |
| July |
Statement |
Change of control of Tenet Group Limited (Tenet) |
| July |
Application refusal |
Nilesh Patel [PDF] |
| July |
Application refusal |
Gerard Peter McGrane [PDF] |
| July |
Application refusal |
McGrane Financial Services [PDF] |
| July |
Application refusal |
EasyFinancial Ltd [PDF] |
| July |
Dear CEO Letter |
Key messages for Investment Firms on our implementation of the Capital Requirements Directive (CRD) [PDF] |
| July |
Newsletter |
Mortgage and general insurance newsletter (Issue 2) [PDF] |
| July |
Press release |
Quick Guide will help consumers choose the right investment products |
| July |
Consultation paper |
CP05/12: Investment product disclosure: proposals for a Quick Guide at the point of sale |
| July |
Consumer research |
Keyfacts Quick Guide - research findings |
| July |
Press release |
FSA praises Scottish commitment to improving financial capability |
| July |
Dear CEO Letter |
Results of Client Money review of General Insurance Brokers [PDF] |
| July |
Handbook publication |
Handbook Development (Issue 65) [PDF] |
| July |
Press release |
New fee paying instalment plan shows successful start as over 1,600 firms sign-up |
| July |
Miscellaneous document |
Consumer needs research: Informing our future work [PDF] |
| July |
Board Minutes |
June Board Minutes summary [PDF] |
| July |
Handbook Material |
Handbook Notice 46 [PDF] |
| July |
Policy statement |
PS 05/9: Bundled brokerage and soft commission arrangements - Feedback on CP05/5 and final rules |
| July |
Statement |
KF Concept: Kevin Foster |
| July |
Application refusal |
Ridings (GB) Limited [PDF] |
| July |
Speech |
Implementation of the Markets in Financial Instruments Directive and Capital Requirements Directive: state of play |
| July |
Speech |
Opening remarks from the Annual Public meeting |
| July |
Newsletter |
Financial Crime Newsletter - Issue 3 [PDF] |
| July |
Process Review Report |
Enforcement Process Review [PDF] |
| July |
Press release |
FSA publishes recommendations of enforcement process review |
| July |
Consultation paper |
CP05/11: Conclusions of Enforcement process review |
| July |
Newsletter |
Enforcement process review - Handbook changes [PDF] |
| July |
Progress Report |
Mortgage endowments: Progress report and next steps [PDF] |
| July |
Consumer research |
Mortgage Endowments; shortfalls and consumer action [PDF] |
| July |
Press release |
Endowments - consumers act but FSA keeps close eye on complaints |
| July |
Press release |
MyTravel fined £240,000 for Listing Rule breach |
| July |
Final Notice |
MyTravel Group plc [PDF] |
| July |
Consumer research |
Consumer awareness of the FSA and financial regulation |
| July |
Press release |
FSA to simplify Handbook and remove unnecessary Rules |
| July |
Consultation paper |
CP05/10: Reviewing the FSA Handbook |
| July |
Newsletter |
Asset Management Newsletter No.1 [PDF] |
| July |
Document |
Contract certainty in the insurance market |
| July |
Consultation paper |
CP05/9: Quarterly consultation (No.5) |
| July |
Speech |
Money Advice Association |
| July |
Speech |
The FSA's Wholesale agenda |
| July |
Press release |
FSA targets illegal insurance brokers |
| July |
Press release |
'Get rich quick' scheme operator made bankrupt |
| July |
Statement |
KF Concept: Kevin Foster |
| July |
Press release |
FSA tells industry that Treating Customers Fairly must be 'business as usual' |
| July |
Paper |
Treating customers fairly - building on progress [PDF] |
| July |
Consumer Research |
Treating customers fairly: the consumers’view [PDF] |
| July |
Press release |
FSA data show continuing improvements in capital strength of with-profits insurers |
| July |
Memorandum of understanding |
Memorandum of understanding between the Financial Services Authority and the US Office for Thrift Supervision [PDF] |
| July |
Newsletter |
General Insurance Newsletter No.6 [PDF] |
| July |
Newsletter |
Life Insurance Newsletter No.4 [PDF] |
| June |
First supervisory notice |
Williams, Stewart James (trading as S & J Consultants) |
| June |
Miscellaneous document |
FSA response to the European Commission's Financial Services Policy 2005-2010 Green Paper [PDF] |
| June |
Application Refusal |
Rajiv Khungar [PDF] |
| June |
Final Notice |
Rajiv Khungar [PDF] |
| June |
Final Notice |
Shafquat Rajah (trading as Heritage PFC) [PDF] |
| June |
Final Notice |
Khungar Home Loans Limited [PDF] |
| June |
Speech |
Sir David Arculus - In the Spotlight |
| June |
Statistics |
Building Society Statistics 2005 [PDF] |
| June |
Annual Report |
FSA Annual Report 2004/05 |
| June |
Consultation paper |
CP05/8: Suitability Standards for advice on Personal Pensions |
| June |
Press release |
FSA move to free up advice on personal pensions |
| June |
Press release |
FSA fines Citigroup £13.9 million (€20.9mn) for Eurobond trades |
| June |
Final Notice |
Citigroup Global Markets Limited [PDF] |
| June |
Final Notice |
Compere Associates Limited [PDF] |
| June |
Application Refusal |
Quartz Crystal Company Limited [PDF] |
| June |
Application Refusal |
Castle Commercials Engineering Limited [PDF] |
| June |
Application Refusal |
Autocars Limited [PDF] |
| June |
Speech |
Fighting fraud in partnership |
| June |
Press release |
FSA launches £100,000 fund to help voluntary and community sector increase financial awareness |
| June |
Newsletter |
List! UKLA Newsletter - Issue 9 [PDF] |
| June |
Newsletter |
MarketWatch - Issue No.12 - Special MAD Edition [PDF] |
| June |
Press release |
Glossop 'accountant' jailed for illegal deposit taking |
| June |
Press release |
New members appointed to Consumer Panel |
| June |
Press release |
FSA launches debate on the impact of hedge funds in the UK |
| June |
Discussion paper |
DP05/4: Hedge funds: A discussion of risk and regulatory engagement |
| June |
Discussion paper |
DP05/3: Wider-range Retail Investment Products - Consumer protection in a rapidly changing world |
| June |
Financial Crime Report |
'Defusing' the ID issue: Progress report 2 [PDF] |
| June |
Consumer Research |
Consumers' views of proof of identity checks |
| June |
Speech |
The Fight Against Money Laundering: Promoting Effectiveness |
| June |
Handbook publication |
Handbook Development Newsletter 64 [PDF] |
| June |
Press release
|
FSA publishes guide to help young adults be more confident with money |
| June |
Financial capability publication |
Helping young adults become financially capable [PDF]
Case studies of organisations assisting young people to take control of their finances |
| June |
Handbook publication |
Handbook Notice 45 [PDF] |
| June |
Board Minutes |
May Board Minutes summary [PDF] |
| June |
Press release
|
FSA takes action against 'higher risk' mortgage firms |
| June |
Final Notice
|
Smith, Whiteley & Company [PDF] |
| June |
Statement
|
KF Concept: Kevin Foster |
| June |
Newsletter
|
PSD News bulletin (Issue 3) [PDF] |
| June |
Miscellaneous document
|
2004 Survey of the Persistency of Life and Pensions Policies [PDF] |
| June |
Policy Statement |
PS05/8: Consolidated Policy Statement on our fee-raising arrangements |
| June |
Speech
|
The challenges for investment managers |
| June |
Research paper
|
Consumer Research Paper No 35: Towards understanding consumers’ needs [PDF] |
| June |
Corporate document
|
International Regulatory Outlook - June update [PDF] |
| June |
Press release
|
FSA introduces tailored Handbooks for small firms |
| June |
Miscellaneous document
|
Undertakings - AXA [PDF] |
| June |
Press release
|
FSA will not tolerate 'phoenix' firms |
| June |
Speech
|
Regulatory action against Phoenix Firms |
| June |
Newsletter
|
Financial Promotions mortgage and general insurance bulletin (Issue 2) |
| June |
Handbook publication
|
Handbook release 39 |
| June |
Press release
|
FSA publishes near final Prospectus Directive Rules |
| June |
Policy statement |
PS05/7: Implementation of the Prospectus Directive - Feedback on CP04/16 and CP05/7 and near final Prospectus Rules |
| June |
Speech |
Dealing with Distress in Financial Conglomerates |
| June |
Press release
|
Financial Services Compensation Scheme Board appointments |
| May |
Final Notices |
Ridings GB Limited/Glenbow Financial Management/Norman Deakin/Gwyneth Roe/Ivan Harrison |
| May |
Press release
|
FSA Statement on BPS Insure Limited |
| May |
Press release
|
Depolarisation opens door to more consumer choice and a more competitive retail investments market |
| May |
Press release
|
FSA Statement regarding Legal & General Tribunal further decision |
| May |
Press release
|
2005/06 Final Fees and Levies / Funding Review |
| May |
Policy statement |
PS05/6: Regulatory fees and levies 2005/06 - Including feedback on CP05/2 and made rules |
| May |
Newsletter
|
Financial Crime Newsletter - Issue 2 [PDF] |
| May |
Press release
|
FSA sets out a good practice model for stress testing and invites comment |
| May |
Discussion paper
|
Stress testing |
| May |
Press release
|
Abbey fined £800,000 for mishandling mortgage endowment complaints |
| May |
Final Notice
|
Abbey National plc [PDF] |
| May |
Handbook publication
|
Handbook Development (Issue 63) [PDF] |
| May |
Press release
|
FSA warns advisers that unsuitable equity release advice has got to stop |
| May |
Press release
|
FSA work discovers consumers are not being properly advised on equity release |
| May |
Speech
|
With-profits and beyond: the regulator's perspective |
| May |
Consumer publication
|
Your pension - it's time to choose |
| May |
Dear CEO Letter |
Key messages on our implementation of the Capital Requirements Directive [PDF] |
| May |
Handbook publication |
Handbook Notice 44 [PDF] |
| May |
Press release |
Cost of regulation study gathers pace |
| May |
Press release |
FSA creates new accounting and auditing sector team |
| May |
Miscellaneous document |
Statement of Good Practice 'Fairness of terms in consumer contracts' [PDF] |
| May |
Letter |
Letter to compliance officers: Equity Contracts for Difference (CFDs) and spread betting thematic project [PDF] |
| May |
Final Notice |
Arif Mohammed |
| May |
Paper |
FSA supervision of closed with-profits funds and process for considering management actions by with-profits firms |
| May |
Speech |
Use of technology by the FSA to interact with regulated firms |
| May |
Press release |
Make sure contracts terms are fair, FSA tells firms |
| May |
Press release |
FSA wants to see improvements in Key Facts documents |
| May |
Newsletter |
Mortgage and general insurance newsletter (Issue 1) |
| May |
Dear CEO letter |
To the Chief Executives of mortgage lenders
Results of our review of mortgage disclosure documentation [PDF] |
| May |
Press release |
FSA announces a new market-based instalment plan for firms to pay their 2005/06 fees and levies |
| May |
Newsletter |
Retail Intermediaries Newsletter - Issue 3 (Special edition - Depolarisation) [PDF | 57KB | 4 pages ] |
| May |
Miscellaneous document |
FSA submission to the Competition Commission: London Stock Exchange mergers enquiry [PDF] |
| May |
Press release |
Alzheimers
Association registration cancelled |
| May |
Press release |
Courtover Investment
Management Ltd fined £20,000 for approving misleading financial
promotion |
| May |
Final notice |
Courtover
Investment Management Limited [ PDF | 519 KB | 18 pages ] |
| May |
Speech |
The
retail financial advice market - a regulatory perspective |
| May |
Press release |
Mortgage perimeter
"in good shape" |
| May |
Miscellaneous document |
Offshore operations:
Industry feedback [PDF] |
| April |
Press release |
Progress on
payment by instalments |
| April |
Research paper |
Consumer
research paper 34: UCITS: charges disclosure – presenting product
charges to customers [ PDF | 1,582 KB | 46 pages ] |
| April |
Press release |
Whitely Insurance
Consultants |
| April |
Press release |
FSA publishes
final rules for new Listing Regime |
| April |
Consultation paper |
CP05/7: The Listing
Review and Prospectus Directive - Feedback on CP04/8 and CP04/16, near
final text and supplementary consultation |
| April |
Press release |
FSA appoints
City lawyer as new Director of Enforcement |
| April |
Handbook publication |
Handbook Notice
43 [PDF] |
| April |
Press release |
Simplified
Prospectus will give fund investors more information |
| April |
Policy statement |
Implications
of a changing accounting framework - Feedback on CP04/17 and made text |
| April |
Policy statement |
Implementation
of the Simplified Prospectus requirements - Feedback on CP04/18 |
| April |
Handbook publication |
Handbook
Development (Issue 62) [PDF] |
| April |
Miscellaneous document |
Undertakings - Intelligent Finance [PDF] |
| April |
Miscellaneous document |
Undertakings - Blemain Finance Limited [PDF] |
| April |
Miscellaneous document |
Undertakings - Skipton Building Society [PDF] |
| April |
Miscellaneous document |
Undertakings - London Capital Group Limited [PDF] |
| April |
Miscellaneous document |
Undertakings - Prudential International Assurance plc [PDF] |
| April |
Speech |
Efficiency and fairness - Goldman Sachs CIO Conference |
| April |
Speech |
Re-thinking
life insurance |
| April |
Dear CEO letter |
International
Financial Reporting Standards ("IFRS") [PDF] |
| April |
Speech |
How
times have changed and what changes we should expect, in terms of financial
services |
| April |
Press release |
FSA reveals
approach to retail risks and areas under review |
| April |
Press release |
FSA warns of
new boiler room threat |
| April |
Press release |
FSA and Teather
& Greenwood Limited announce details of Split capital investment trust
settlement |
| April |
Press release |
FSA and Exeter
Asset Management Limited announce details of split capital investment
trust settlement |
| April |
International document |
Letter
to BBA, BSA & LIBA: The UK approach to the calibration of Basel |
| April |
Statement |
Change of control of HHG plc Life Services |
| April |
Statement |
KF Concept |
| April |
Press release |
FSA fees update |
| April |
Consultation paper |
CP05/6: Quarterly
Consultation (No.4) |
| April |
Speech |
Modernisation
of the regulatory regime in general insurance: How far have we come? An
FSA Perspective |
| April |
Press release |
FSA looks to
insurance industry to address conflicts of interest |
| April |
Speech |
Reform
of the insurance industry |
| April |
Speech |
Supervision
strategy for retail general insurance intermediaries |
| April |
Miscellaneous document |
Insurance
Sector Briefing: Delivering the Tiner Insurance Reforms [PDF] |
| April |
Press release |
FSA fines
auditor for market abuse |
| April |
Speech |
Regulation
of Capital Markets: Cooperation, Overlap or Competition |
| April |
Newsletter |
PSD News -
Issue No.2 |
| April |
Speech |
Regulation
and Consolidation in the Financial Industry |
| April |
MOU |
Memorandum of understanding between
the Financial Reporting Review Panel and the Financial Services Authority |
| April |
MOU |
Memorandum of understanding between
the Financial Services Authority and the Pensions Regulator |
| April |
Newsletter |
Retail
Intermediaries Newsletter - issue 2 |
| April |
Speech |
Launch
of Fair Finance, a Community Development Finance Institution |
| March |
Press release |
FSA publishes
new service standards |
| March |
Consultation paper |
Bundled brokerage
and soft commission arrangements: Proposed rules |
| March |
Press release |
FSA and industry
propose way forward on soft commissions and bundled brokerage |
| March |
Supervisory Notice |
MJT Mortgages [ PDF | 63KB | 6 pages ] |
| March |
Application refusal |
Connex
Financial Services Limited [ PDF | 53 KB | 1 page ] |
| March |
Application refusal |
K
C Firmin Car Sales [ PDF | 51.5 KB | 1 page ] |
| March |
Press release |
"Wider
implications" issues: FSA and Ombudsman to implement improved procedures
|
| March |
Consultation paper |
CP05/4: FSMA 2 Year Review:
Financial Ombudsman Service |
| March |
Application refusal |
Riding
Insurance (Warrington) [ PDF | 64.5 KB | 1 page ] |
| March |
Newsletter |
General
Insurance Newletter - Issue 5 [ PDF | 96 KB | 7 pages ] |
| March |
Newsletter |
Life
Insurance Newsletter - Issue 3 [ PDF | 95 KB | 7 pages ] |
| March |
Speech |
Financial
capability and the workplace |
| March |
Press release |
City Index
Ltd fined £35,000 for misleading financial promotions |
| March |
Final notice |
City Index
Limited [PDF | 109 MB | 17 pages ] |
| March |
Policy statement |
PS05/3: Implementation
of the Market Abuse Directive |
| March |
Press release |
FSA publishes
rules implementing Market Abuse Directive |
| March |
Handbook publication |
Handbook
Notice 42 |
| March |
Handbook publication |
Handbook Development
Newsletter No.61 |
| March |
Statement |
FSA
comment on the Hampton Report |
| March |
Speech |
Overview
of the FSA's implementation proposals for the Capital Requirements Directive
and Basel 2 in the UK |
| March |
Press release |
FSA calls for
contributions to enforcement process review |
| March |
Miscellaneous document |
Enforcement
process review - issues paper [ PDF | 60 KB | 8 pages ] |
| March |
Final notice |
Peter Hamilton-Lesser
trading as Hamilton-Lesser and Company [ PDF | 32 KB | 2 pages ] |
| March |
Speech |
ABI
Bi-Annual Conference |
| March |
Miscellaneous document |
Returns under
IPRU (INS) for financial years ending on or after 31 December 2004
[ PDF | 46 KB | 4 pages ] |
| March |
Speech |
Key
themes for 2005 |
| March |
Press release |
FSA begins
costs of regulation study |
| March |
Press release |
FSA fines Highbury
Financial Services Ltd £35,000 for misleading financial promotions |
| March |
Press release |
Firm-friendly
web site aims to make compliance easier |
| March |
Press release |
FSA fines investor
£15,000 for internet market abuse |
| March |
Final notice |
H M Patel &
Company [ PDF | 88 KB | 2 pages ] |
| March |
Final notice |
Cultactual
Limited [ PDF | 82 KB | 2 pages ] |
| March |
Final notice |
Highbury Financial
Services Ltd [ PDF | 1.7 MB | 22 pages ] |
| February |
Speech |
Reaching
Over to the Mainland – Unbundling in Continental Europe |
| February |
Speech |
FSA
view - Regulatory Risks and Priorities for 2005 |
| February |
Speech |
Retail
Intermediaries Sector Conference |
| February |
Speech |
SEC
Regulation outside the United States: Keynote Address |
| February |
Speech |
The
FSA's strategic view of regulation of the banking sector |
| February |
Press release |
FSA launches
new reporting requirements |
| February |
Press release |
FSA warns firms
on OTC credit derivatives administration |
| February |
Discussion paper |
DP05/1: Integrated
Regulatory Reporting (IRR) for: Deposit Takers, principal position takers,
and other investment firms subject to the Capital Requirements Directive. |
| February |
Press release |
FSA targets
illegal mortgage brokers |
| February |
Press release |
Treating Customers
Fairly: progress made, but more to do |
| February |
Press release |
Tribunal refuses
authorisation application for Ridings GB Ltd and three individuals |
| February |
Press release |
FSA helping
financial advisers facing uncertain future |
| February |
Press release |
FSA suspends
registration of the Alzheimers Association |
| February |
Speech |
Regulation and the
Hedge Fund Industry: An Ongoing Dialogue |
| February |
Press release |
FSA reminds
consumers to consider their State Second Pension position |
| February |
Press release |
Potential longer
term implications of a change of ownership of the London Stock Exchange
|
| February |
Press release |
FSA announces
scope of enforcement processes review |
| February |
Press release |
FSA responds
to requests from general insurance industry for help on conflict management
rules |
| February |
Final notice |
Harvey Simon
Medical Insurance Services [ PDF | 123 KB | 2 pages ] |
| February |
Final notice |
Mr David
Isaacs (dob 08/11/1949) [ PDF | 106 KB | 11 pages ] |
| February |
Statement |
Statement:
Enforcement process review |
| February |
Dear CEO letter |
Operations
and risk management in the credit derivatives market [ PDF | 57.34
KB | 3 pages ] |
| February |
Miscellaneous document |
Financial Promotion:
taking stock and moving forward |
| February |
Statement |
KF Concept: Kevin Foster |
| February |
Handbook publication |
Handbook
Notice 41 [ PDF | 809.25 KB | 47 pages ] |
| February |
Policy statement |
PS05/2: Insurance regulatory
reporting: changes to the publicly available annual return for insurers
- Feedback on CP202 and CP04/1 and made text. |
| February |
Final notice |
Financial
Matters [ PDF | 26 KB | 2 pages ] |
| February |
Speech |
Regulating
the Relationship: Banks, Firms and the FSA |
| February |
Statement |
David Pritchard to advise on enforcement process review |
| February |
Newsletter |
Retail
Intermediaries Newsletter - Issue 1 [ PDF | 660 KB | 4 pages ] |
| February |
Final notice |
Mr
Anthony John Fitt [ PDF | 80 KB | 7 pages ] |
| February |
Handbook publication |
Handbook
Development (Issue 60) [ PDF | 169 KB | 12 pages ] |
| February |
Pensions publication |
Pensions:
Challenges and Choices. The first report of the Pensions Commission -
Response from the FSA [ PDF | 159 KB | 18 pages ] |
| February |
Miscellaneous document |
Review
of Enforcement Processes - Terms of Reference |
| January |
Speech |
Addressing
the issue of financial inclusion |
| January |
Handbook publication |
Handbook
Release 37 - January 2005 |
| January |
Policy statement |
PS05/1: Treating with-profits
policyholders fairly - Feedback on CP04/14 and made text |
| January |
Consultation paper |
CP05/3: Strengthening capital
standards |
| January |
Final notice |
Pace
Micro Technology plc [ PDF | 260 KB | 16 pages ] |
| January |
Corporate document |
Business Plan
2005/06 |
| January |
Consultation paper |
CP05/2: Regulatory fees
and levies 2005/06 |
| January |
Speech |
Where
we are with CP176 and future financial markets directives - some current
messages from the FSA |
| January |
Consumer publication |
Taking
out a mortgage or insurance? Don't act without the keyfacts [ PDF
| 76 KB | 2 pages ] |
| January |
Final notice |
Michael
Harding [ PDF | 97 KB | 9 pages ] |
| January |
International document |
Supervising
financial services in an integrated European Single Market: A discussion
paper [ PDF | 477 KB | 44 pages ] |
| January |
Handbook publication |
Handbook
Notice 40 [ PDF | 322 KB | 52 pages ] |
| January |
Consumer publication |
Credit
Unions - saving and borrowing to meet your needs [ PDF | 48 KB | 2
pages ] |
| January |
Consumer publication |
FSA
factsheet: Challenging unfair contract terms [ PDF | 84 KB | 6 pages
] |
| January |
Consumer publication |
Introduction
to the Financial Services Authority - information for consumers [
PDF | 47 KB | 2 pages ] |
| January |
Miscellaneous document |
The
Financial Services and Market Tribunal. Legal & General Assurance
Limited & The Financial Services Authority [ PDF | 1116 KB | 102
pages ] |
| January |
Speech |
CIOBS
Biennial Dinner, Edinburgh |
| January |
Corporate document |
Financial
Risk Outlook 2005 |
| January |
Corporate document |
International
Regulatory Outlook 2005 |
| January |
Miscellaneous |
Important information for firms:
Promoting the introduction of the KeyFacts logo with your customers |
| January |
Consumer publication |
Buying
Insurance? How Keyfacts can help you [ PDF | 54 KB | 2 pages ] |
| January |
Final notice |
Hemscott
Investment Analysis Ltd [ PDF | 744 KB | 23 pages ] |
| January |
Statement |
FSA investigation into primary aluminium market |
| January |
Statement |
KF Concept: Kevin Foster |
| January |
Statement |
KF Concept: Kevin Foster |
| January |
Handbook publication |
Handbook
Development (Issue 59) [ PDF | 167 KB | 12 pages ] |
| January |
Consultation paper |
CP05/1: Quarterly Consultat |
