| Date |
Type |
Subject |
| December |
Consumer research |
Consumer awareness of the FSA and financial regulation [PDF] |
| December |
Application refusal |
P S Mortgages Limited [PDF] |
| December |
Approved person refusal |
Stanley Olutola [PDF] |
| December |
Final Notice |
Mr. Eamon Fegan
trading as Fegan Motors [PDF] |
| December |
Final Notice |
John Stanley Lepine [PDF] |
| December |
Handbook publication |
Handbook Notice 61 [PDF] |
| December |
Handbook publication |
Handbook Development Newsletter Issue 82 [PDF] |
| December |
Approved person refusal |
Paul Andrew Starman [PDF] |
| December |
Newsletter |
Mortgage Advisers Newsletter [PDF] |
| December |
Press Release |
FSA imposes a public censure on Eastern Western Motor Group |
| December |
Press Release |
FSA fines home shopping company £270,000 for PPI selling failures |
| December |
Final Notice |
Eastern Western Motor Group Limited [PDF] |
| December |
Final Notice |
Redcats Brands Limited [PDF] |
| December |
Application Refusal |
John Mooney [PDF] |
| December |
Newsletter |
UKLA Publications List No.14 - Transparency Directive[PDF] |
| December |
Newsletter |
MarketWatch Issue No.18 [PDF] |
| December |
Newsletter |
General Insurance Newsletter - Issue 11 [ PDF ] |
| December |
Newsletter |
Life Insurance Newsletter - Issue 9 [ PDF ] |
| December |
Dear CEO letter |
Contract certainty in the insurance market [PDF] |
| December |
Final Notice |
David Bennett (trading as Bennetts Independent Financial Advisers) [PDF] |
| December |
Final Notice |
D A McKenna Insurance Brokers Limited [PDF] |
| December |
Final Notice |
John Heenan trading as the Mortgage Centre [PDF] |
| December |
Final Notice |
Lember Singh Sanghera trading as L S Sanghera [PDF] |
| December |
Final Notice |
Wayne Kennedy trading as Kennedy Mortgage Services [PDF] |
| December |
Final Notice |
John Evans trading as John Evans Cars [PDF] |
| December |
Final Notice |
Jim Russell [PDF] |
| December |
Final Notice |
Hussain Shahab Aftab trading as Hydere International Management [PDF] |
| December |
Final Notice |
ET Commercials Limited [PDF] |
| December |
Final Notice |
A20 Motorcycles and Scooters [PDF] |
| December |
Handbook publication |
Handbook Release 60 |
| December |
Press Release |
FSA publishes further consultation on listing rules for investment entities |
| December |
Consultation paper |
CP06/21: Investment Entities Listing Review - Further consultation and feedback on Part 2 of CP06/4 |
| December |
Speech by Nausicaa Delfas |
Key Themes and Developments in Financial Advertising |
| December |
Corporate document |
International Regulatory Outlook - December 2006 [PDF] |
| December |
Press Release |
Consumers with interest-only mortgages need to have robust repayment plans, says FSA |
| December |
Consumer research |
Interest-only mortgages – consumer risks [PDF] |
| December |
Dear CEO letter |
Commission disclosure for commercial customers [ PDF ] |
| December |
Miscellaneous |
Analysis of activity in the energy markets 2006 [PDF] |
| December |
Speech by Dan Waters |
Implementing principles based regulation |
| December |
Policy statement |
PS06/14: Prudential changes for insurers - Feedback on CP06/16. Including Policy Statement for Chapter 7 of CP06/13 |
| December |
Miscellaneous |
FSA Simplification Plan [PDF] |
| December |
Press Release |
Endowments: better outcomes for consumers but no room for complacency, says FSA |
| December |
Miscellaneous |
Mortgage endowments: Delivering higher standards [PDF] |
| December |
Speech by Dan Waters |
FSA consultation paper - Overview of the 'Reforming conduct of business regulation' CP |
| December |
Speech by Callum McCarthy |
Hedge funds: what should be the regulatory response? |
| December |
Speech by Julian Adams |
Capital efficiency, reinsurance and risk securitisations: new structures and the changing regulatory scene |
| December |
Press Release |
FSA fines mortgage firm £52,500 for management failures |
| December |
Final notice |
Home and County Mortgages Limited [PDF] |
| December |
Speech by Philip Robinson |
Keynote address to the BBA's Annual Financial Crime Conference |
| December |
Speech by Dan Waters |
Mortgages Conduct of Business Rules Effectiveness Review |
| December |
Press Release |
FSA acts to halt unauthorised deposit-taker |
| December |
Final notice |
Anthony Bruce Needham trading as Creative Insurance Solutions [PDF] |
| November |
Final notice |
William Faulkner (trading as Policylink & Apsley Homes Estate Agency) [PDF] |
| November |
Minutes |
Board summary minutes [PDF] |
| November |
First Supervisory Notice |
David Anthony Jones (trading as D Jones Investments) [ PDF ] |
| November |
Press Release |
Statement on the proposed combination involving Euronext N.V. and NYSE Group Inc. |
| November |
Final notice |
Mr John Vincent Burton [PDF] |
| November |
Statement |
FSA publishes report on the estimation of third party administrative burdens |
| November |
Miscellaneous |
Estimation of FSA third party administrative burdens [PDF] |
| November |
Feedback statement |
FS06/5: Point of sale investment product disclosure: Feedback on CP170 and CP05/12 |
| November |
Consumer research |
Investment disclosure research [PDF] |
| November |
Miscellaneous |
Compliance costs of proposed changes to the investment product disclosure regime [PDF] |
| November |
Miscellaneous |
Insurance sector briefing: Risk management in insurers [PDF] |
| November |
Speech by Sarah Wilson |
Risk Management by Insurers |
| November |
International |
Long run PDs and Procyclicality [PDF] |
| November |
Press Release |
Further progress needed by insurers on their management of risk |
| November |
Miscellaneous |
Insurance sector briefing: Risk management in insurers [PDF] |
| November |
Miscellaneous document |
The FSA's risk-based approach [PDF] |
| November |
Miscellaneous document |
Delivering better regulatory
outcomes – an update. A joint FSA and OFT Action Plan [ PDF ] |
| November |
Press release |
Financial Services Authority confirms Universal Building Society merger with the Newcastle Building Society |
| November |
Press release |
New director appointments at the FSA |
| November |
Press Release |
FSA response to Practitioner Panel report |
| November |
Miscellaneous |
Undertaking from Skandia Life Assurance Company Ltd [PDF] |
| November |
Letter |
From Hector Sants to Dan Waters, IOSCO Committee Chairman of the Valuations Sub Committee |
| November |
Statement |
FSA Statement on use of XBRL |
| November |
Press release |
Poor financial advertising in sub-prime market a sign of wider problems, says FSA |
| November |
Speech by Vernon Everitt |
The FSA's Financial Advertising Regime: a proactive and proportionate approach to consumer protection |
| November |
Newsletter |
Asset Management Newsletter - Issue 5 [ PDF ] |
| November |
Handbook publication |
Handbook Notice 60 [PDF] |
| November |
Handbook publication |
Handbook Development Newsletter Issue 81 [PDF] |
| November |
Policy statement |
Organisational systems and controls - common platform for firms. Feedback on CP06/9 |
| November |
Press release |
Market wide exercise helps to enhance the resilience of financial sector |
| November |
Press release |
FSA sets out costs and benefits of MIFID |
| November |
Speech by Hector Sants |
Implementing Best Execution Requirements in Different Markets for Different Clients |
| November |
Press release |
FSA fines salesman for inappropriate conduct |
| November |
Final Notice |
Sean Julian Pignatelli [PDF] |
| November |
Final Notice |
Rafiq Ahmed Petkar [PDF] |
| November |
Press release |
Meeting of the Euronext regulators |
| November |
Speech by John Tiner |
The mortgage market in the EU |
| November |
Press release |
FSA fines GenRe UK £1,225,000 for improper reinsurance transactions |
| November |
Final Notice |
General Reinsurance UK Limited [PDF] |
| November |
Press release |
FSA fines mortgage firm for cold calling |
| November |
Final Notice |
Capital Mortgage Connections Ltd [PDF] |
| November |
Press release |
FSA signs regulatory cooperation agreement with the CFTC |
| November |
MOU |
Memorandum of understanding between the FSA and the United States Commodity Futures Trading Commission [PDF] |
| November |
Dear CEO letter |
Letter to UCITS management companies- Firm Categorisation under the Capital Requirements Directive (CRD) [ PDF ] |
| November |
Dear CEO letter |
Letter to advisers/arrangers that hold client money - Firm Categorisation under the Capital Requirements Directive (CRD) [ PDF ] |
| November |
Final Notice |
Mohammad Yunus trading as M. Yunus & Co [PDF] |
| November |
Final Notice |
Gerald Smith trading as Smiths of Alvechurch [PDF] |
| November |
Final Notice |
Malik Laws Partnership Limited [PDF] |
| November |
Final Notice |
Kams Specialist Cars Limited [PDF] |
| November |
Final Notice |
Direct Mortgages & Loans Limited [PDF] |
| November |
Final Notice |
Castle Financial Management Limited [PDF] |
| November |
Miscellaneous |
Market failure analysis and high level cost benefit analysis [PDF] |
| November |
Miscellaneous |
Oxera report: A framework for assessing the benefits of financial regulation [PDF]
A report prepared for Financial Services Authority |
| November |
Speech by Thomas Huertas |
Facing uncertainty from a position of strength |
| November |
Speech by Callum McCarthy |
IOSCO Conference - opening speech |
| November |
Speech by Vernon Everitt |
Financial Capability - equipping consumers for the future |
| November |
Speech by Clive Briault |
Mortgage regulation - is it working? |
| November |
Speech by Clive Briault |
The FSA's agenda for 2007 |
| November |
Press release |
Recognition for FSA's Firms Contact Centre |
| November |
Miscellaneous |
Mystery Shopping Guide [PDF] |
| November |
Newletter |
CRD Implementation Bulletin Issue 5 - Investment firms [PDF] |
| November |
Newletter |
CRD Implementation Bulletin Issue 5 - Banks and building societies [PDF] |
| November |
Speech by Callum McCarthy |
Financial stability analysis in the UK |
| November |
Speech by Vernon Everitt |
Financial Capability - Making a real difference to consumers and the financial services industry |
| November |
Press release |
33% still see senior management buy-in as the biggest barrier to implementing TCF |
| November |
Speech by Clive Briault |
Making a real difference to consumers through more principles-based regulation |
| November |
EU document |
Supervising insurance groups under Solvency II - A discussion paper [PDF]
A joint discussion paper by HM Treasury and the FSA |
| November |
Speech by Bruce Robson on behalf of Dan Waters |
Developments in the Retail Financial Services Market |
| November |
Press release |
FSA bans ICM for practices which put consumers at risk |
| November |
Final Notice |
ICM Group Limited [PDF] |
| November |
Final Notice |
Mr Jon Uglow Batchelor [PDF] |
| November |
Final Notice |
Mr Ian Paul Ruff [PDF] |
| November |
Miscellaneous |
Undertaking from HSA / Simplyhealth Access [PDF] |
| November |
Miscellaneous |
Undertaking from Britannic Assurance plc [PDF] |
| November |
Press release |
FSA launches discussion on private equity market |
| November |
Discussion paper |
DP06/6: Private equity: a discussion of risk and regulatory engagement |
| November |
Miscellaneous |
Mesothelioma Compensation: amending the Financial Services Compensation Scheme - summary of responses [PDF]
Responses to a joint consultation by HM Treasury and the FSA |
| November |
Press release |
FSA bans Christopher Whiteley for failing to insure consumers |
| November |
Final Notice |
Mr Christopher Edward Whiteley [PDF] |
| November |
Final Notice |
Mrs Janice Susan Whiteley [PDF] |
| November |
Miscellaneous |
Legal advice from the General Counsel's Division of the FSA in respect of the scope of the Best Execution obligation under MiFID [PDF] |
| November |
Press release |
FSA sets out the priorities for its review of retail distribution |
| November |
Speech by Clive Briault |
Retail distribution review: Scope, priorities and approach |
| November |
Press release |
CIC policyholders to be compensated |
| November |
Miscellaneous |
Legal advice from the General Counsel's Division of the FSA in respect of the scope of the Best Execution obligation under MiFID [PDF] |
| November |
Miscellaneous |
Business Continuity Management Practice Guide [PDF] |
| November |
Miscellaneous |
Undertaking from London Scottish Bank plc [PDF] |
| November |
Press release |
FSA encourages the use of Industry Guidance |
| November |
Supervisory notice |
Virendra Rai Agarwala (trading as Abbex Insurance) [ PDF ] |
| November |
Discussion paper |
DP06/5: FSA confirmation of Industry Guidance |
| October |
Second Supervisory Notice |
William Faulkner (trading as Policylink & Apsley Homes Estate Agency) [ PDF ] |
| October |
Speech by Paul Sharma |
Solvency 2 - the way forward |
| October |
Speech by Callum McCarthy |
Principles-based regulation – what does it mean for the industry? |
| October |
EU document |
MiFID Implementation: Cost Survey of the UK Investment Industry [PDF] |
| October |
Press release |
FSA publishes radical proposals for move to principles-based regulation |
| October |
Consultation paper |
CP06/20: Financial promotion and other communications |
| October |
Consultation paper |
CP06/19: Reforming Conduct of Business Regulation |
| October |
Final Notice |
Paramjit Singh Bali (trading as Bali Financial Services) [PDF] |
| October |
Press release |
Green light for new home finance regulation |
| October |
Policy statement |
PS06/12: Regulation of Home Reversion and Home Purchase Plans - Feedback on CP06/8 and final rules |
| October |
Press release |
FSA and teachers' TV collaborate on new personal finance education programmes |
| October |
Final Notice |
Global Yacht Shipping Limited [PDF] |
| October |
Handbook publication |
Handbook Notice 59 |
| October |
Press release |
FSA publishes near final Transparency Directive rules and updates on Investment Entities Listing Rules review |
| October |
Policy statement |
PS06/11: Implementation of the Transparency Directive - Feedback on CP06/4 |
| October |
Policy statement |
PS06/10: Integrated Regulatory Reporting (IRR) Credit institutions and certain investment funds - Feedback on Part 1 of CP06/11 and made text for 2007 reporting |
| October |
Application Refusal |
Oriental and African Strategic Advisory Services Ltd [PDF] |
| October |
Approved Person Refusal |
John Willoughby Giles Catchpole [PDF] |
| October |
Approved Person Refusal |
Robert Aubrey Cosby [PDF] |
| October |
Press release |
FSA fines loan broker £455,000 for PPI selling failures |
| October |
Final Notice |
Loans.co.uk Limited [PDF] |
| October |
Miscellaneous |
Bundled brokerage and soft commission arrangements: performance management framework - an update
Includes Oxera's report |
| October |
Newsletter |
Financial advisers newsletter - Issue 5 [PDF] |
| October |
Newsletter |
Mortgage advisers newsletter - Issue 5 [PDF] |
| October |
Newsletter |
General insurance brokers newsletter - Issue 5 [PDF] |
| October |
Final Notice |
Wendashire Finance (2000) Limited [PDF] |
| October |
Final Notice |
Best Advice Mortgage Network Limited [PDF] |
| October |
Speech by Dan Waters |
FSA Regulation and Hedge Funds: An Effective and Proportionate Approach for a Dynamic, International Marketplace |
| October |
Newsletter |
Financial Crime Newsletter - Issue 6 [PDF] |
| October |
Speech by John Tiner |
Financial capability: Making a difference |
| October |
Statement |
FSA/FOS statement on CJ funding review |
| October |
Press release |
Some PPI sellers still not treating customers fairly says FSA report |
| October |
Report |
The sale of payment protection insurance – results of follow-up thematic work [PDF] |
| October |
Speech by Margaret Cole |
The UK FSA: Nobody does it better? |
| October |
Speech by John Tiner |
Principles based regulation: the EU context |
| October |
Press release |
FSA outlines help for the young, families and workers across the UK |
| October |
Persistency Survey |
2006 Survey of the Persistency of Life and Pensions Policies [PDF] |
| October |
EU document |
Implementation plan for MiFID - Update [PDF] |
| October |
Press release |
FSA censures firm for pension 'income withdrawal' failings |
| October |
Final Notice |
G D Tancred Financial Services Limited [PDF] |
| October |
Dear CEO letter |
Stress testing thematic review [ PDF ] |
| October |
Handbook release |
Handbook release 58 |
| October |
Speech by John Tiner |
UK’s Leading Role in the Adoption of International Initiatives |
| October |
Final Notice |
James Boyd Parker [PDF] |
| October |
Press release |
FSA closes in on UK-based share scheme |
| October |
Final Notice |
First Legal Services Limited [PDF] |
| October |
Final Notice |
Robert Hamilton Jewell (trading as R H Jewell Agricultural Insurance Consultant) [PDF] |
| October |
Final Notice |
Morelinx Limited [PDF] |
| October |
Final Notice |
Gerald Ward (trading as Westend Motor Sales) [PDF] |
| October |
Speech by Hector Sants |
Regulation of commodity markets |
| October |
Consultation paper |
CP06/18: Quarterly consultation (No. 10) |
| October |
Speech by Sarah Wilson |
A view from Canary Wharf |
| October |
Consultation paper |
CP06/17: Amendments to the Prospectus and Listing Rules |
| October |
UKLA publication |
UKLA Factsheet Issue No.4 [PDF]
Passporting in and passporting out processes that the UKLA have adopted |
| October |
Application refusal |
Ultravel Limited [PDF] |
| October |
Press release |
More flexibility in unit pricing goes ahead |
| October |
Policy statement |
PS06/9: Single and dual pricing for authorised collective investment schemes - Feedback on CP06/7 |
| October |
Speech by John Tiner |
In search of efficient, orderly and fair markets |
| October |
Speech by Roger Hillyer |
Improving the FSA Authorisation process, preparing for the authorisation of the operators of self-invested personal pensions (SIPPs) |
| September |
Minutes |
Board summary minutes [PDF] |
| September |
Final Notice |
Leslie Packman (trading as UK Motor Finance) [PDF] |
| September |
Final Notice |
Jason Smith (trading as Redfield Motor Company) [PDF] |
| September |
Final Notice |
Paul Morrison (trading as Morrison P) [PDF] |
| September |
Final Notice |
Christine Ola (trading as Assured Mortgages) [PDF] |
| September |
Handbook Publication |
Handbook Notice 58 [ PDF ] |
| September |
Policy statement |
PS06/8: Strengthening Capital Standards - Restructuring the Handbook - Feedback on CP06/10 |
| September |
Final Notice |
Patrick J White trading as Financial Concepts [PDF] |
| September |
Final Notice |
G Sanger Limited [PDF] |
| September |
Final Notice |
Penta Financial Services [PDF] |
| September |
Final Notice |
Direct Law Line Limited [PDF] |
| September |
Final Notice |
Gordon Berry trading as BFG Financial Solutions [PDF] |
| September |
Final Notice |
A Jarvis Limited [PDF] |
| September |
Handbook Publication |
Handbook Development Newsletter (Issue 79) [ PDF ] |
| September |
Press release |
FSA publishes feedback on regulation of personal pensions |
| September |
Policy statement |
PS06/7: The regulation of personal pension schemes including SIPPs - Feedback on CP06/5 and made text
|
| September |
Press release |
Providers and distributors need to work together to treat customers fairly - says FSA |
| September |
Discussion paper |
DP06/4: The responsibilities of providers and distributors for the fair treatment of customers |
| September |
Speech by Sarah Wilson |
The regulator's expectations - delivering improved outcomes for consumers |
| September |
Press release |
SEC Chairman, Euronext regulators meet to discuss cooperation in the event of the NYSE Euronext combination |
| September |
Press release |
Mortgage regulation: Moving in right direction on consumer benefits |
| September |
Miscellaneous |
Mortgage effectiveness review - Stage 1 Report [PDF] |
| September |
Miscellaneous |
Mortgages advice and selling process: mystery shopping data table [PDF] |
| September |
Miscellaneous |
Quantitative consumer research on the mortgage purchasing process [PDF] |
| September |
Consumer research |
Consumers and mortgage disclosure documentation [PDF] |
| September |
Speech by Callum McCarthy |
Mansion House speech |
| September |
Newsletter |
Market Watch No17 |
| September |
Final Notice |
T A Porter & Sons [PDF] |
| September |
Final Notice |
Bikesmart UK Limited [PDF] |
| September |
Speech by Hector Sants |
Hedge funds, regulators and emerging markets |
| September |
Consumer research paper |
The sale of lifetime mortgage products – mystery shopping results [PDF] |
| September |
Press release |
FSA fines former chief executive for failings leading to client money rule breaches |
| September |
Speech by John Tiner |
Treating customers fairly |
| September |
Press release |
Authorisation process for the new home finance activities |
| September |
Press release |
FSA fines Langtons (IFA) Limited £63,000 for serious systems and controls failings |
| September |
Final Notice |
Langtons (IFA) Limited [PDF] |
| September |
Final Notice |
Nationwide Finance Limited [PDF] |
| September |
Speech by Clive Briault |
Progress of Community Development Financial Institutions |
| September |
Miscellanous |
Mortgage endowment complaints: the quality of firms’ communications [PDF] |
| September |
Press release |
FSA warns of illegal motor insurance |
| September |
Speech by Thomas Huertas |
One down, two to go? Challenges facing the global derivatives industry |
| September |
Speech by Callum McCarthy |
The challenge of Basel II for regulators |
| September |
Speech by Vernon Everitt |
Update on complaints handling |
| September |
Application Refusal |
KCR Insurance Services Ltd [PDF] |
| September |
Consultation paper
|
CP06/16: Prudential changes for insurers |
| September |
Speech by Callum McCarthy |
Is the present business model bust? |
| September |
Miscellaneous |
Undertaking from Scottish Widows Bank plc [PDF] |
| September |
Speech by John Tiner |
Are we heading towards over regulation? |
| September |
Newsletter |
General Insurance Newsletter - Issue 10 [ PDF ] |
| September |
Newsletter |
Life Insurance Newsletter - Issue 8 [ PDF ] |
| September |
Newsletter |
PSD Newsletter No.5 [PDF] |
| September |
Speech by Vernon Everitt |
The FSA's regulatory approach and raising financial capability through the workplace |
| September |
Statement |
FSA Statement on HMT announcement regarding recognised bodies |
| September |
Pensions publication |
Security in retirement: towards a new pensions system. The Government's White Paper on pension reform - Response from the FSA [PDF] |
| September |
Final Notice |
David Cooke trading as Car-Zone.com [PDF] |
| September |
Final Notice |
ME Estate and Property Agent [PDF] |
| September |
Final Notice |
Blackburn and Price Limited [PDF] |
| September |
Final Notice |
Professional Independent Financial Solutions Limited [PDF] |
| September |
Final Notice |
Cleveland Cars Limited [PDF] |
| September |
Final Notice |
QB Motorcycles Limited [PDF] |
| September |
Newsletter |
CRD Implementation Bulletin Issue 4 - Banks and building societies [PDF] |
| September |
Newsletter |
CRD Implementation Bulletin Issue 4 - Investment firms [PDF] |
| September |
Final Notice |
Amerindo Advisors (UK) Limited [PDF] |
| September |
Speech by Philip Robinson |
The risks posed by economically motivated crime |
| September |
Proposed amendment to COB |
Draft Guidance on COB 7.18 – Use of dealing commission [PDF] |
| September |
Press Release |
FSA fines Braemar £182,000 for 'pensions unlocking' failings |
| September |
Final notice |
Braemar Financial Planning Limited [PDF] |
| September |
Miscellaneous |
Mesothelioma compensation: Amending the Financial Services Compensation Scheme - A consultation [PDF]
A joint consultation by HM Treasury and the FSA |
| September |
Press Release |
FSA fines The Carphone Warehouse Limited £245,000 for not treating its telesales insurance customers fairly |
| September |
Final notice |
The Carphone Warehouse Ltd [PDF] |
| September |
Miscellaneous |
Unfair contract terms: Statement from the Building Societies Association |
| September |
Press Release |
FSA appoints senior advisor to Markets Division |
| September |
Press Release |
FSA fines mortgage firm £56,000 for PPI sales failures |
| September |
Final notice |
Regency Mortgage Corporation Limited [PDF] |
| September |
Press Release |
FSA bans Walsall Bridge Insurance for failing to insure consumers |
| September |
Newsletter |
List! UKLA newsletter - Issue No. 13 [PDF] |
| September |
Final notice |
Geoffrey Thomas Robbins [PDF] |
| September |
Final notice |
Walsall Bridge Insurance Consultants Limited [PDF] |
| September |
Final notice |
Shahzad Bamdad Shirazi trading as Specialists Asset Management [PDF] |
| September |
Final notice |
Bellcom Limited [PDF] |
| September |
Miscellaneous |
Marketing of foreign UCITS in the UK recognised under section 264 of the Financial Services and Markets Act 2000 |
| August |
Press Release |
New members appointed to Consumer Panel |
| August |
Money laundering information |
Fighting money laundering and terrorist finance: moving forward over the risk-based approach [PDF]
Letter to Martin Hall, Chairman of the Joint Money Laundering Steering Group |
| August |
EU document |
HMT/FSA joint response to the Commission's questionnaire to members of the Governmental Expert Group on Mortgage Credit (GEGMC) [PDF] |
| August |
Final Notice |
Kenneth Holdsworth (trading as Holdsworth & Company) [PDF] |
| August |
Press release |
Financial Services Authority confirm Lambeth Building Society merger with the Portman Building Society |
| August |
FSA decision |
Lambeth Building Society and Portman Building Society Transfer of Engagements [PDF] |
| August |
Press release |
FSA to simplify approved persons regime |
| August |
Consultation paper |
Reforming the Approved Persons regime |
| August |
FSA paper |
Implementing MiFID’s Client Categorisation requirements [PDF] |
| August |
Miscellaneous |
The firm risk assessment framework [PDF] - Updated |
| August |
Handbook publication |
Handbook Development No 78 |
| August |
Dear CEO Letter |
Letter to small firms - Firm Categorisation under the Capital Requirements Directive (CRD) [ PDF ] |
| August |
Dear CEO Letter |
Letter to other firms - Firm Categorisation under the Capital Requirements Directive (CRD) [ PDF ] |
| August |
Final Notice |
The Ancient Order of Foresters Friendly Society Limited |
| August |
Press release |
FSA fines Kyte £250,000 for client money and accounting failures |
| August |
Press release |
FSA fines Kyte £250,000 for client money and accounting failures |
| August |
Final Notice |
The Kyte Group Limited [PDF] |
| August |
Press release |
Court shuts UK firm for assisting overseas boiler rooms |
| August |
Corporate documents |
FSA Annual Meeting 2006 - Transcripts |
| August |
Consumer research |
Quality of advice process in firms offering financial advice: findings of mystery shopping research [PDF] |
| August |
Final Notice |
David Potter & Morgan Friendly Society [PDF] |
| August |
FSA Statement |
Implications of MiFID on the Depolarisation Regime |
| August |
Press release |
FSA announces Information Systems contracts |
| August |
Press release |
FSA fines Hoodless Brennan £90,000 for unacceptable sales practices and not treating customers fairly |
| August |
Final Notice |
Hoodless Brennan Plc [PDF] |
| August |
Application refusal |
Vrajlal Laximidas Sodha [PDF] |
| August |
Final Notice |
Millenium Management Services UK Limited [PDF] |
| August |
Final Notice |
S.P.I. (Scot) Limited [PDF] |
| August |
Miscellaneous |
Trade Association Proposals for the Payment Protection Insurance (PPI) Market
Record of meeting on 31 July 2006 between trade associations and the FSA. |
| August |
Press release |
FSA fines Merrill Lynch £150,000 for transaction reporting failures |
| August |
Final Notice |
Merrill Lynch International [PDF] |
| August |
Handbook release |
Handbook release 56 |
| August |
Final Notice |
Millfield Partnership Limited (in administration) [PDF] |
| August |
Newsletter |
Asset Management Newsletter - Issue 4 [PDF] |
| July |
Minutes of meeting |
SCC meeting summary minutes [PDF] |
| July |
Final Notice |
Audley Jackson (trading as Jacksons Just Mortgages) [PDF] |
| July |
Final Notice |
Michael John Timberlake (trading as MJT Mortgages) [PDF] |
| July |
Final Notice |
Cody Francis Colville [PDF] |
| July |
Press release |
FSA fines GLG Partners and Philippe Jabre £750,000 each for market abuse |
| July |
Final Notice |
Philippe Jabre [PDF] |
| July |
Miscellaneous document |
Financial Promotions: Progress update and future direction [PDF] |
| July |
Press release |
New Director of Business Review and Audit Division |
| July |
Final Notice |
Mark Frankel trading as Mark Warren Estates [PDF] |
| July |
Press release |
FSA consults on MiFID rules for firms and markets |
| July |
Consultation paper |
CP06/14: Implementing MiFID for Firms and Markets |
| July |
Policy statement |
PS06/6: Strengthening Capital Standards 2 - Feedback on CP06/3 |
| July |
Speech |
Effective AML - The UK story |
| July |
Press release |
FSA to end audit requirements for small firms |
| July |
Handbook publication |
Handbook Notice 57 [PDF] |
| July |
Handbook publication |
Handbook Development (Issue 77) [PDF] |
| July |
Miscellaneous document |
Concordat between the Office of Fair Trading and the Financial Services Authority [PDF] |
| July |
Final notice |
Gerard Mulligan trading as Top Carz [PDF] |
| July |
Final notice |
Mostlot Limited [PDF] |
| July |
Final notice |
Southern Commercial Sales Limited [PDF] |
| July |
Final notice |
Stratten Consultancy Limited [PDF] |
| July |
Speech |
Chief Executive’s remarks at FSA Annual Public Meeting |
| July |
Press release |
FSA censures director of mortgage broker for serious misconduct |
| July |
Final notice |
Mr Steven Leslie Davis [PDF] |
| July |
Final notice |
Montague Management Limited [PDF] |
| July |
Speech |
Treating Customers Fairly and more principles-based regulation |
| July |
Press release |
FSA and APRA prohibit reinsurance specialist for five years |
| July |
Final notice |
John Byrne [PDF] |
| July |
Press release |
Lifetime Mortgage Sales and Advice: Improvements made, but further to go |
| July |
Press release |
FSA sets deadline for firms falling behind with 'treating customers fairly' |
| July |
FSA paper |
Treating customers fairly - Towards fair outcomes for consumers [PDF] |
| July |
Speech by Sarah Wilson |
Treating Customers Fairly - Towards fair outcomes for consumers |
| July |
Speech by Clive Briault |
Financial Capability in the workplace |
| July |
Press release |
FSA statement regarding Rosneft listing |
| July |
Press release |
FSA bans former solicitor from doing any regulated activity |
| July |
Final notice |
Mr Allen Phillip Elliott (Allen Elliott) [PDF] |
| July |
Final notice |
Frederick Young [PDF] |
| July |
Final notice |
Eversure Financial Services Limited [PDF] |
| July |
Statement |
Carl Rigby and Gareth Bailey - update 2 |
| July |
Statement |
Mr Paul Davidson, Mr Nigel Howe and Mr Ashley Tatham |
| July |
Press release |
Financial Services Authority confirms Mercantile Building Society merger with the Leeds Building Society |
| July |
Final notice |
A S General Insurance Brokers Plc [PDF] |
| July |
Corporate document |
International Regulatory Outlook - July update [PDF] |
| July |
Consultation paper |
Quarterly Consultation Paper (No.9) |
| July |
Final notice |
Western Devices Limited [PDF] |
| July |
Final notice |
Premium Finance Limited [PDF] |
| July |
Final notice |
Paul Crawford Motors [PDF] |
| July |
Final notice |
Mary MacKellar trading as Mary MacKellar Insurance Services [PDF] |
| July |
Final notice |
Martin White trading as Coatbridge Car Sales [PDF] |
| July |
Final notice |
Jyotika Ashokkumar Inamdar [PDF] |
| July |
Final notice |
John Grubb trading as Craignairn Cars [PDF] |
| July |
Final notice |
Frontier 2k Limited [PDF] |
| July |
Final notice |
Frank Craney trading as City Cars Newcastle [PDF] |
| July |
Final notice |
Cranes of Hollesley Limited [PDF] |
| July |
Final notice |
Autodent Crash Repair Limited [PDF] |
| July |
Final notice |
William Reid trading as Cordner Reid and Company [PDF] |
| July |
Press release |
Feedback Statement on the Resilience Benchmarking Project Discussion Paper |
| July |
Final notice |
Peter Greengrass [PDF] |
| July |
Press release |
FSA publishes feedback on trading transparency in the UK secondary bond market |
| July |
Feedback statement |
FS06/4: Trading transparency in the UK secondary bond markets - Feedback on DP05/5 |
| July |
Annual Report |
Enforcement annual performance account [PDF] |
| July |
Handbook release |
Handbook Release 55 |
| July |
Supplemental supervisory notice |
Shrine Co-operative Credit Union Limited [ PDF ] |
| July |
Second supervisory notice |
Shrine Co-operative Credit Union Limited [ PDF ] |
| July |
First supervisory notice |
Shrine Co-operative Credit Union Limited [ PDF ] |
| July |
Welsh Language scheme/Cynllun Iaith Gymraeg |
Welsh Language scheme for the FSA
Cynllun Iaith Gymraeg i’r FSA |
| June |
Minutes |
June Board summary minutes [PDF] |
| June |
Newsletter |
Mortgage advisers newsletter - Issue 4 [PDF] |
| June |
Newsletter |
Financial advisers newsletter - Issue 4 [PDF] |
| June |
Newsletter |
General insurance brokers newsletter - Issue 4 [PDF] |
| June |
Final notice |
Money Matters Financial Services LLP [PDF] |
| June |
Press release |
Survey finds teachers need more confidence to teach personal finance in schools |
| June |
Consumer research |
Personal financial education in schools: A UK Benchmark study [PDF] |
| June |
Financial capability |
Creating a step change in schools [PDF] |
| June |
Miscellaneous |
Payment Protection Insurance: Refund undertakings |
| June |
Final notice |
Barnes Insurance Services Limited [PDF] |
| June |
Final notice |
Peter Wood and Associates [PDF] |
| June |
Final notice |
Khalid Yasien trading as Khalid [PDF] |
| June |
Policy statement |
PS06/5: Bundled brokerage and soft commission arrangements for retail investment funds |
| June |
Press release |
FSA publishes feedback on fund disclosures to retail clients |
| June |
Press release |
Mortgage disclosure documents: quality is improving |
| June |
First supervisory notice |
Colville, Cody Francis (trading as Cody F Colville) |
| June |
Press release |
Lambeth and Portman Building Societies: merger confirmation hearing |
| June |
Report |
The FSA's Better Regulation Action Plan (BRAP) Progress Report |
| June |
Press release |
FSA reports progress on "better regulation" and publishes studies into costs and benefits of financial regulation |
| June |
Press release |
FSA publishes Annual Report for 2005/06 |
| June |
Annual Report |
Annual Report 2005/06 |
| June |
Press release |
FSA fines Rainbow Homeloans Limited £35,000 for systems and controls failings |
| June |
Final notice |
Rainbow Homeloans Limited [ PDF ] |
| June |
Handbook publication |
Handbook Development (Issue 76) [ PDF ] |
| June |
Handbook publication |
Handbook Notice 56 [ PDF | |
| June |
Report |
Impact of IFRS on financial statements of Financial Services Authority [PDF] |
| June |
Speech by Callum McCarthy |
The future regulation of financial services |
| June |
Final notice |
Douglas Cronshaw Incorporating Crossleys Insurance Consultants [PDF] |
| June |
Press release |
FSA consults on rules to introduce Insurance Special Purpose Vehicles |
| June |
Consultation paper |
CP06/12: Implementing the Reinsurance Directive |
| June |
Supervisory notice |
Rotton Park/Winson Green Credit Union Limited [ PDF ]
Second Supervisory Notice |
| June |
Supervisory notice |
Rotton Park/Winson Green Credit Union Limited [ PDF ]
Supplemental First Supervisory Notice |
| June |
Supervisory notice |
Rotton Park/Winson Green Credit Union Limited [ PDF ] |
| June |
Press release |
General insurance conduct of business review looks to fewer rules |
| June |
Newsletter |
MarketWatch Issue No.16 [ PDF ] |
| June |
Final notice |
Douglas Lyons & Lyons trading as DLL Lettings [PDF] |
| June |
EU document |
Results of the fifth Quantitative Impact Study (QIS 5) [PDF] |
| June |
Speech by Margaret Cole |
Efficiency versus Fairness? |
| June |
Speech by John Tiner |
Keynote address - Enforcement Law Conference |
| June |
Speech by Sarah Wilson |
Regulatory priorities in a principles-based world |
| June |
Press release |
FSA announces further work on the future of retail distribution |
| June |
Speech by John Tiner |
Review of retail distribution in the UK |
| June |
Final notice |
Cowplain Car Centre [PDF] |
| June |
Final notice |
Haymarket & City Consulting Limited [PDF] |
| June |
Final notice |
Invicta Car and Finance Centre Limited [PDF] |
| June |
Final notice |
Simply Kitchens Direct Limited [PDF] |
| June |
Speech by Callum McCarthy |
Regulation and Islamic finance |
| June |
Speech by John Tiner |
The role of the regulator and the responsibility of the buyer in the insurance chain |
| June |
Newsletters |
CRD Implementation Bulletin - Banks and building societies: Issue 3 [PDF] |
| June |
Newsletters |
CRD Implementation Bulletin - Investment firms: Issue 3 [PDF] |
| June |
Newsletters |
FSA update from the Consumer Sector Team [PDF] |
| June |
Press release |
Implications of ownership of a UK Recognised Investment Exchange by a US entity |
| June |
Miscellaneous |
CPSS-IOSCO assessments of CRESTCo Limited and LCH.Clearnet Limited |
| June |
Speech by Philip Robinson |
The importance of senior management responsibility and the transition to a risk-based approach. |
| June |
Press release |
FSA assures firms they will not be judged retrospectively |
| June |
Speech by Stephen Bland |
Retrospective action by the regulator - past, present and future |
| June |
Press release |
Typical boiler room victim loses £20,000, warns FSA |
| June |
Speech by Hector Sants |
Market abuse and conflicts of interest: The FSA approach |
| June |
Speech by Clive Briault |
Retail banking: Challenges and opportunities |
| June |
Press release |
Mark Rothery becomes Chairman of the FSA Smaller Businesses Practitioner Panel |
| June |
Final notice |
Edward Harding trading as Bond Services [PDF] |
| June |
Final notice |
Donald Whiteford trading as Equity Finance [PDF] |
| June |
Final notice |
Ka & Ap Raine trading as Dragon Motors [PDF] |
| June |
Final notice |
Keith Robert Anderson trading as Moira Autocentre [PDF] |
| June |
Final notice |
Paul James Mundy trading as Paul Mundy Mortgages [PDF] |
| June |
Final notice |
Premier Insurance [PDF] |
| June |
Final notice |
Reece Associates Limited [PDF] |
| June |
Final notice |
Roundbush Body and Paint Limited [PDF] |
| June |
Final notice |
RS Cars (RG) Limited [PDF] |
| June |
Final notice |
The Money Management Centre Limited [PDF] |
| June |
Final notice |
Wtr Car Sales Limited [PDF] |
| June |
Speech by Thomas Huertas |
The regulatory platform of choice [PDF] |
| June |
Miscellaneous document |
Information needed on firms in a financial crisis: 'Factbooks' - an update, following responses received to proposals of October 2005 [PDF] |
| June |
Press release |
No change in Compensation Scheme and Ombudsman payment limits - FSA confirms |
| June |
Policy statement |
PS06/3: Consolidated Policy Statement on our fee-raising arrangements |
| June |
Press release |
FSA consults on new requirements for firms' regulatory reporting |
| May |
Application Refusal |
Broker Group Limited [PDF] |
| May |
Consultation paper |
CP06/11: Integrated Regulatory Reporting (IRR): Credit institutions and certain investment firms |
| May |
Press release |
FSA publishes final fees and levies 2006/07 and updates its Online Fee Calculator to help firms |
| May |
Policy statement |
PS06/3: Consolidated Policy Statement on our fee-raising arrangements |
| May |
Policy statement |
PS06/2: Regulatory fees and levies 2006/07 - including feedback on CP06/2 and ‘made rules’ |
| May |
Press release |
Critical illness cover: Firms make progress but still need to do more to treat their customers fairly |
| May |
Consumer research |
The sale of critical illness cover - mystery shopping results [PDF] |
| May |
Miscellaneous document |
The sale of critical illness cover: results of thematic work [PDF] |
| May |
Handbook publication |
Handbook Notice 55 [PDF] |
| May |
Handbook publication |
Handbook Development 75 [PDF] |
| May |
Speech by Callum McCarthy |
AMI Annual Dinner |
| May |
Final notice |
E H Morgan & Son (Cirencester) Limited [PDF] |
| May |
FSA statement |
FSA statement on RU64 rule |
| May |
Consultation paper |
CP06/10: Strengthening Capital Standards - Restructuring the Handbook |
| May |
Final notice |
Lansdown Properties Limited [PDF] |
| May |
Final notice |
Dan Davidson (Ballymena) Limited [PDF] |
| May |
Final notice |
Charles Rollin (trading as Greenhow & Company) [PDF] |
| May |
Final notice |
Ivory Armstrong Douglas Limited [PDF] |
| May |
Consultation paper |
CP06/9: Organisational systems and controls - Common platform for firms |
| May |
Final notice |
Octopus Mortgages Limited [PDF] |
| Sally Dewar |
17 May |
Preventing and combating market abuse |
| May |
Speech by Sam Tymms |
Treating Customers Fairly (TCF) |
| May |
Discussion Paper |
Discussion paper DP06/3 - Implementing MiFID's best execution requirements |
| May |
Statement |
Financial Services & Markets Tribunal Decision - Paul Davidson & Ashley Tatham |
| May |
Speech by Christina Sinclair |
Organisational Systems & Controls: A Common Platform for Firms |
| May |
Speech by Hector Sants |
MiFID Conference - Keynote Speech |
| May |
Speech by Thomas Huertas |
Good Riddance and Great Opportunity: Can the Distressed Debt Market Be Both? |
| May |
Final notice |
Commercial Direct Limited [PDF] |
| May |
Final notice |
The High Street Mortgage Company [PDF] |
| May |
Press release |
FSA brings curtain down on celebrity-endorsed betting syndicate |
| May |
Newsletter |
General Insurance - Issue 9 - May 2006 |
| May |
Newsletter |
Life Insurance - Issue 7 - May 2006 |
| May |
Speech by Sarah Wilson |
The future of life insurance: Greater transparency and fairness |
| May |
Final notice |
Mark Cooper Garages Limited [PDF] |
| May |
Final notice |
Middleton Financial Limited [PDF] |
| May |
Final notice |
Maurice Lynn Motors [PDF] |
| May |
Final notice |
Eileen Hayes t/a E Hayes Car Sales [PDF] |
| May |
Final notice |
Peter Swatton t/a Abacus Accommodation [PDF] |
| May |
Speech by John Tiner |
Better regulation: objective or oxymoron |
| May |
Press release |
Credit union chairman banned for wilful and persistent disregard for FSA rules |
| May |
Final notice |
The London Adventist Credit Union Limited [PDF] |
| May |
Final notice |
Dr Albert Alphonso Carlyle Waite [PDF] |
| May |
Handbook publication |
Handbook Development (Issue 74) [ PDF ] |
| May |
Handbook publication |
Handbook Release 53 - May 2006 |
| May |
EU document |
Joint implementation plan for MiFID [PDF] - A joint paper by HM Treasury and the FSA |
| May |
Press release |
FSA looks for better handling of client money by general insurance firms |
| May |
Miscellaneous document |
Guide to Client Money for General Insurance Intermediaries [PDF] |
| May |
Press release |
Future funding of the Financial Ombudsman Service |
| May |
Speech by Philip Robinson |
Impacts of the new Joint Money Laundering |
