| Date |
Type |
Subject |
| 31 December |
Handbook Publication |
Handbook Release 72 |
| 28 December |
Press release |
FSA survey finds people too scared to open their post-Christmas bills |
| 28 December |
Final notice |
Andy Kayode Obafemi Adegburin [PDF] |
| 20 December |
Handbook publication |
Handbook Development Newsletter (Issue 94) [ PDF ] |
| 20 December |
Consultation paper |
CP07/24: Implementation of the 8th Company Law Directive |
| 19 December |
Press release |
FSA imposes a public censure on PB Roberts Limited |
| 19 December |
Report |
Finance in and at retirement – results of our review [PDF] |
| 19 December |
Handbook publication |
Handbook Notice 71a [PDF] |
| 19 December |
Consultation paper |
CP07/23: Organisational systems and controls - extending the common platform |
| 19 December |
Press release |
FSA publishes a review of the liquidity requirements for banks and building societies |
| 19 December |
Discussion paper |
DP07/07: Review of the liquidity requirements for banks and building societies |
| 18 December |
Final notice |
PB Roberts Ltd [PDF] |
| 18 December |
Press release |
New FSA travel insurance regime will protect consumers |
| 18 December |
Consultation paper |
CP07/22: Regulating connected travel insurance |
| 18 December |
Press release |
FSA cuts back on detailed insurance selling rules but tightens up where customers are not being treated fairly |
| 18 December |
Policy statement |
PS07/24: Insurance selling and administration - Feedback on CP07/11 and final rules |
| 18 December |
FSA statement |
Projection rates for non-MiFID investment products |
| 18 December |
Report |
Rates of return for FSA prescribed projections [PDF] |
| 18 December |
Report |
FSA Mock Sales (PPI) - New ICOB Test [PDF]
Powerpoint presentation of the results of research carried out by Opinion Research Corporation International |
| 18 December |
Report |
Experimental Evidence on Salesmanship, Mandatory Disclosure and the Purchase of Income and Loan Payment Protection Insurance [PDF]
Report by Professor David de Meza, Dr Bernd Irlenbusch and Professor Diane Reyniers of the London School of Economics and Political Science |
| 17 December |
Press release |
FSA bans pet insurance broker |
| 17 December |
Final notice |
David Martin Holland [PDF] |
| 17 December |
Final notice |
Flett Sinclair Insurance Brokers Limited (FSIB) [PDF] |
| 17 December |
Press release |
FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud |
| 17 December |
Final notice |
Norwich Union Life [PDF] |
| 14 December |
Press release |
FSA bans former Chief Executive of Insurance broker |
| 14 December |
Press release |
FSA and CONSOB sign regulatory cooperation agreement |
| 14 December |
MOU |
Memorandum of understanding between the Financial Services Authority and Commissione Nazionale per le Societa e la Borsa [PDF] |
| 14 December |
Press release |
FSA bans four individuals for dishonest behaviour in the reinsurance market |
| 14 December |
Discussion paper |
DP07/6: Definition of Capital |
| 13 December |
First supervisory notice |
Mortgage and Property Services Limited [PDF] |
| 13 December |
Final notice |
James Duncan Richardson [PDF] |
| 13 December |
Miscellaneous |
How we evaluate our performance - the Outcomes Performance Report and developments in our approach since 2002 [PDF] |
| 13 December |
Discussion paper |
UK Discussion Paper on the Commission’s review of the financial regulatory framework for commodity and exotic derivatives [PDF]
A joint consultation by HM Treasury and the FSA
Summary newsletter [PDF] |
| 13 December |
Letter |
Letter of clarification: reattribution of inherited estates [PDF] |
| 12 December |
Policy statement |
PS07/23: Integrated Regulatory Reporting (IRR): Changes to reporting requirements affecting most firms - feedback to CP07/17 |
| 11 December |
Handbook publication |
Handbook Development Newsletter - Issue 93 [PDF] |
| 11 December |
Miscellaneous |
FSA Simplification Plan update [PDF] |
| 11 December |
Final notice |
Christopher Reginald Colin Henton [PDF] |
| 10 December |
Policy statement |
PS07/22: External assurance on regulatory returns - Including feedback on CP07/15 |
| 10 December |
Consultation paper |
CP07/21: Close Links |
| 10 December |
Press release |
FSA announces further work on commission disclosure and the commercial insurance market |
| 10 December |
CRA report |
Commercial insurance commission disclosure: Market Failure Analysis and high level Cost Benefit Analysis [PDF] |
| 7 December |
Final notice |
Nicholas Brown [PDF] |
| 7 December |
Final notice |
Jeffrey Ronald Butler [PDF] |
| 7 December |
Final notice |
John Hubert Whitcombe [PDF] |
| 7 December |
Policy statement |
PS07/21: Notification Obligations under the Investment Exchanges and Clearing Houses Act - including feedback on CP07/10 and final Handbook text |
| 7 December |
Policy statement |
PS07/20: Investment Entities Listing Review - Feedback on CP07/12 and final Handbook text |
| 7 December |
Handbook publication |
Handbook Notice 71 [PDF] |
| 7 December |
Final notice |
J D Finance Limited (In Liquidation) [PDF] |
| 6 December |
Supervisory notice |
PK Property Services Limited [ PDF ] |
| 6 December |
Final notice |
Palani Jegatheeswaran [PDF] |
| 5 December |
Supervisory notice |
Bimmy Olarinko (trading as BIM Financial Consultancy) [ PDF ] |
| 4 December |
Speech by Verena Ross |
London's Financial Markets and the FSA's approach to financial regulation |
| 4 December |
Press release |
FSA calls on lenders to protect themselves against a possible worsening of liquidity and credit risks |
| 4 December |
Speech by Clive Briault |
The Risk Outlook for Mortgage Lenders |
| 4 December |
Press release |
FSA announces RDR timetable |
| 4 December |
Speech by Stephen Bland |
The Future of Distribution in Financial Services |
| 3 December |
Press release |
Firms must do more to ensure their Appointed Representatives treat customers fairly |
| 3 December |
Miscellaneous |
Dear MLRO Letter [PDF] |
| 3 December |
Handbook publication |
Handbook Release 71 |
| 30 November |
Speech by Stephen Bland |
The Retail Distribution Review and the impact on the mortgage industry |
| 29 November |
Final notice |
Kingsley Acunwa (trading as Stargate Financial Services) [PDF] |
| 28 November |
Speech by Tony Katz |
Financial Promotions and More Principles-Based Regulation - Freedom and Responsibility |
| 28 November |
Press release |
FSA calls for all firms to ensure their promotional websites are fair, clear and not misleading |
| 28 November |
Press release |
FSA encourages growth of Islamic finance in the UK |
| 28 November |
FSA paper |
Islamic Finance in the UK: Regulation and Challenges [PDF] |
| 27 November |
Newsletter |
List! Issue No. 17 [PDF] |
| 26 November |
Press release |
FSA will work with industry to improve mortgage advice - and clamp down on brokers unwilling to change |
| 23 November |
1st Supervisory Notice |
Aidan Mortgage Consultants Limited [PDF] |
| 23 November |
Miscellaneous |
The proposed transfer of the with-profits annuities of The Equitable Life Assurance Society to the Prudential Assurance Company Limited |
| 21 November |
Speech by Mike Knight |
FSA's Continuing Obligations Regime |
| 21 November |
Press release |
FSA publishes review of 'waiver' on the handling of complaints in relation to unauthorised overdraft charges |
| 21 November |
Report |
Two month review of unauthorised overdraft charges complaints handling waiver [PDF] |
| 21 November |
Speech by Hector Sants |
The FSA's retail agenda: working with the industry |
| 20 November |
Report |
|
| 20 November |
Speech by Hector Sants |
Hedge Funds – Lessons from the recent market turmoil, a supervisor's perspective |
| 20 November |
EU document |
FSA UK country report The third Quantitative Impact Study (QIS3) for Solvency II [PDF] |
| 20 November |
Newsletter |
Financial advisers newsletter - Issue 11 [PDF] |
| 20 November |
Supervisory notice |
Rukhsana Malik (trading as Greenacre) [PDF] |
| 19 November |
Newsletter |
Capital Markets Bulletin - Issue 1 [PDF] |
| 19 November |
Press release |
FSA fines two firms and bans a third for sub-prime failing |
| 19 November |
Final notice |
Homebuyer Securities Limited [PDF] |
| 19 November |
Final notice |
Next Generation Mortgages Limited [PDF] |
| 19 November |
Final notice |
The Loan Company t/a Greenhill Finance (“TLC”/ “the Firm”) [PDF] |
| 16 November |
Press release |
FSA fines Toronto Dominion Bank (London branch) £490,000 for systems and controls failings and bans Mr Simon Richard Brignall from carrying out regulated activities |
| 16 November |
Final notice |
Simon Richard Brignall [PDF] |
| 16 November |
Final notice |
Toronto Dominion Bank (London Branch) [PDF] |
| 16 November |
Final notice |
Michael Young (also known as Mohammed Younas Yousaf) [PDF] |
| 16 November |
Final notice |
M. Young Legal Associates Limited [PDF] |
| 16 November |
Final notice |
Asif Habib Malik [PDF] |
| 15 November |
Bulletin |
CRD Implementation Bulletin Issue 8 - Investment firms [PDF] |
| 15 November |
Bulletin |
CRD Implementation Bulletin Issue 8 - Banks and building societies [PDF] |
| 14 November |
Press release |
FSA update on funds of alternative investment funds |
| 14 November |
Speech by Dan Waters |
Current regulatory issues and challenges for the funds industry |
| 14 November |
Press release |
Reformed funding model for Financial Services Compensation Scheme to operate from next year |
| 14 November |
Policy statement |
PS07/19: FSCS Funding Review - Feedback on CP07/5 and made text |
| 13 November |
Miscellaneous |
A guide on the regulation of work place contract-based pensions [PDF] |
| 12 November |
Press release |
FSA proposes greater disclosure of 'Contracts for Difference' |
| 12 November |
Consultation paper |
CP07/20: Disclosure of Contracts for Difference |
| 9 November |
Newsletter |
Reporting news - Issue1 [PDF] |
| 8 November |
Speech by Clive Briault |
Regulatory challenges in a principles-based environment |
| 8 November |
Consultation paper |
CP07/19: Regulatory fees and levies: Policy proposals for 2008/09 |
| 7 November |
Speech by Sarah Wilson |
HMT Insurance Summit |
| 7 November |
EU document |
Strengthening the EU regulatory and supervisory framework: a practical approach [PDF]
A joint paper by HM Treasury and the FSA |
| 7 November |
Final notice |
Trevor Anthony Mardner trading as Mardners Insurance [PDF] |
| 7 November |
Speech by Hector Sants |
The UK approach to regulation |
| 6 November |
Speech by Clive Briault |
Some wider aspects of fairness |
| 6 November |
Press release |
Financial Services Authority calls for renewed energy to deliver Treating Customers Fairly |
| 6 November |
Speech by Sarah Wilson |
Treating customers fairly - an assessment of industry's performance against the consumer outcomes |
| 5 November |
Miscellaneous |
Analysis of activity in the energy markets 2007 [PDF] |
| 5 November |
Miscellaneous |
2007 Survey of the Persistency of Life and Pensions policies [PDF] |
| 2 November |
Final notice |
Legg Partnership Friendly Society [PDF] |
| 2 November |
Supervisory notice |
Simon Group plc [PDF] |
| 2 November |
Press release |
Two men arrested in FSA's first criminal investigation on boiler rooms |
| 2 November |
FSA Statement |
FSA to follow CESR's new arrangements for reporting transactions in non-securities derivatives |
| 1 November |
Handbook publication |
Handbook Notice 70b [PDF] |
| 1 November |
Press release |
FSA's new investment rules come into force |
| 1 November |
EU document |
MiFID implementation and approved persons changes - changes to the FSA Register |
| 31 October |
Press release |
FSA fines stockbroker for poor risk warnings and advice |
| 31 October |
Final notice |
Wills & Co Stockbrokers Limited [PDF] |
| 30 October |
Miscellaneous |
Operational Risk Management Practices [PDF]
Feedback from a thematic review |
| 29 October |
Final notice |
Granite Capital Limited [PDF] |
| 29 October |
Newsletter |
Handbook Development Newsletter (Issue 92) [PDF] |
| 29 October |
Newsletter |
MarketWatch Issue No.24 [PDF] |
| 26 October |
Policy statement |
PS07/18: Conduct of Business regime |
| 26 October |
Handbook publication |
Handbook Notice 70a [PDF] |
| 25 October |
Newsletter |
Mortgage Advisers Newsletter - Issue 9 [PDF] |
| 25 October |
Final notice |
Paul Smith [PDF] |
| 22 October |
Newsletter |
Financial Crime Newsletter - Issue 9 [PDF] |
| 22 October |
Final notice |
Sharp Insurance Services [PDF] |
| 22 October |
Final notice |
Justin Denis James Earley trading as Independent Mortgage Service [PDF] |
| 22 October |
Speech by Callum McCarthy |
Testing times for bankers and regulators |
| 20 October |
Speech by Callum McCarthy |
The Implications of Globalised Financial Markets of Regulation |
| 19 October |
Final notice |
S & R Motors Limited [PDF] |
| 19 October |
Final notice |
Richard Irving's Ground Rent Business Limited [PDF] |
| 18 October |
Handbook publication |
Handbook Release 70 |
| 18 October |
Press release |
FSA fines mortgage firm for lifetime mortgage selling failures |
| 18 October |
Final notice |
The Minel Group Limited [PDF] |
| 17 October |
Speech by Clive Briault |
London: Centre of Islamic Finance? |
| 17 October |
Speech by Hector Sants |
Looking ahead: FSA retail programme after MiFID |
| 16 October |
Speech by David Kenmir |
Compliance data requirements generated by EU Directives |
| 15 October |
1st Supervisory notice |
Gordon Benville trading as Kingsfield [ PDF ] |
| 15 October |
Discussion paper |
DP07/5: Review of the interaction of our solo and group capital requirements - our findings |
| 11 October |
Discussion paper |
Banking reform - protecting depositors: a discussion paper [PDF]
A joint consultation by HM Treasury, the Bank of England, and the FSA |
| 11 October |
Insurance Sector Briefing |
ICAS – Lessons learned and looking ahead to Solvency 2 [PDF] |
| 11 October |
Final notice |
Rotheville (Insurance Brokers) Limited [PDF] |
| 11 October |
Final notice |
Richard Michael Wolf [PDF] |
| 10 October |
FSA Statement |
Financial Services & Markets Tribunal Decision - Fox Hayes |
| 09 October |
Miscellaneous |
Recent Turbulence in Global Financial Markets and Northern Rock's Liquidity Crisis Memorandum from the FSA to the Treasury Committee [PDF] |
| 09 October |
FSA Statement |
Northern Rock plc Deposits |
| 05 October |
Press release |
Eligible Assets Directive implementation provides clarification for UCITS managers |
| 05 October |
Consultation Paper |
CP07/18: Quarterly Consultation (No.14) |
| 04 October |
Speech by Sarah Wilson |
Speech to the Association of Friendly Societies Annual Conference |
| 04 October |
Speech by David Kenmir |
Challenges for the FSA |
| 04 October |
Speech by Margaret Cole |
The FSA's approach to insider dealing |
| 04 October |
Newsletter |
Response to comments on Bulletin 8 - Payment protection insurance and unsecured personal loan comparative tables [PDF] |
| 03 October |
Newsletter |
Marketwatch Newsletter - Issue 23 [PDF] |
| 03 October |
Press release |
Chris Pond appointed as Director of Financial Capability for the FSA |
| 03 October |
Miscellaneous |
Co-operation Arrangements between the Financial Services Authority and Lloyd's [PDF] |
| 02 October |
Press release |
New measures to help small firms from FSA |
| 01 October |
Final notice |
Eric John Stevens [PDF] |
| 01 October |
Press release |
Compensation Scheme to cover 100% of depositors' claims up to £35,000 |
| 28 September |
Speech by Clive Briault |
Markets, regulation and disputes |
| 28 September |
Press release |
FSA launches a more principles-based regime for unit-linked investments |
| 28 September |
Policy Statement |
PS07/17: Permitted links for long term insurance business |
| 28 September |
Miscellaneous |
Good and poor practices in Key Features Documents [PDF] |
| 28 September |
Handbook publication |
Handbook Notice 69 [PDF] |
| 18 September |
EU document |
Statement of FSA Supervisory Priorities arising from November Handbook changes |
| 27 September |
Handbook publication |
Handbook Development Newsletter (Issue 91) [PDF] |
| 27 September |
Press release |
FSA tells firms to ensure proper management of with-profits funds |
| 26 September |
Press release |
FSA publishes latest findings on PPI |
| 26 September |
FSA paper |
The Sale of Payment Protection Insurance – thematic update [PDF] |
| 26 September |
Consumer research |
The sale of payment protection insurance – phase III mystery shopping results [PDF] |
| 25 September |
Press release |
FSA shuts down UK based firms for assisting boiler rooms |
| 21 September |
Final notice |
Goldplaza Berkeley Square Limited [PDF] |
| 21 September |
Final notice |
Thomas Gibson (Life & Pensions Consultants) Limited [PDF] |
| 20 September |
Speech by Callum McCarthy |
Mansion House speech |
| 20 September |
Speech by Clive Briault |
Some challenges for the asset management industry |
| 19 September |
Dear CEO letter |
Insurers that provide with-profits funds [PDF] |
| 19 September |
Final notice |
Lee Raymond Goddard [PDF] |
| 19 September |
Final notice |
Shane Lee Garvey [PDF] |
| 18 September |
EU document |
Markets in Financial Instruments Directive (MiFID) - Article 4 notification to the European Commission |
| 17 September |
Discussion Paper |
DP07/2: Additional chapter [ PDF ] |
| 14 September |
FSA Statement |
FSA statement for depositors on Northern Rock PLC and market conditions |
| 14 September |
Tripartite Authorities Statement |
Liquidity support facility for Northern Rock Plc |
| 13 September |
Speech by Verena Ross |
FSA's regulatory approach in Europe and globally |
| 13 September |
Final notice |
Emdad Hussain (trading as R & R Finance) [PDF] |
| 13 September |
Final notice |
Gorwins Limited [PDF] |
| 12 September |
Press release |
University freshers should be smart about their money and get a check up with their university money doctor |
| 10 September |
Final notice |
Turning Point Loans Limited [PDF] |
| 10 September |
FSA Statement |
Victoria Mortgage Funding |
| 10 September |
EU document |
MiFID Permissions and Notifications Guide - Update [PDF] |
| 7 September |
Final notice |
Michael Agbaje trading as AAA Management and Financial Enterprise [PDF] |
| 6 September |
Handbook publication |
Understanding the basics of the new Conduct of Business sourcebook (COBS) for retail markets [PDF] |
| 6 September |
Press release |
FSA fines mortgage firm and its chief executive for re-mortgage and PPI selling failures |
| 6 September |
Final notice |
Richard Hayes [PDF] |
| 6 September |
Final notice |
Hadenglen Home Finance plc [PDF] |
| 5 September |
Speech by Philip Robinson |
Crime in the Financial Markets |
| 4 September |
Speech by Amanda Bowe |
Examining the FSA's Retail Distribution Review: An update |
| 4 September |
Press release |
Industry Guidance key role in Principles-Based Regulation |
| 4 September |
Policy statement |
PS07/16: FSA confirmation of Industry Guidance - Feedback on DP06/5 |
| 3 September |
Press release |
Mortgage broker fined for financial promotion and sales-related failings |
| 3 September |
Final notice |
Mr Joseph Masi, trading as Select Mortgage Services [PDF] |
| 3 September |
Press release |
New term for FSA's Independent Complaints Commissioner |
| 30 August |
Final notice |
Rickun Financial Services Ltd and Jyotika Ashokkumar Inamdar ("Mrs Inamdar") [PDF] |
| 28 August |
Factsheet |
Financial advisers and passporting [PDF] |
| 28 August |
Newsletter |
MarketWatch Issue No.22 [PDF] |
| 24 August |
Final notice |
Mr Michael Sheron [PDF] |
| 24 August |
Final notice |
Sheron & Company Financial Advisers [PDF] |
| 24 August |
Application refusal |
Approved Dealer Solutions ("ADS") [PDF] |
| 24 August |
Approved Person Refusal |
Apsley Homes and Policylink ("AHPL") and Mrs Heather Loughrey ("Mrs Loughrey") [ PDF ] |
| 24 August |
Handbook publication |
Handbook Development Newsletter - Issue 90 [PDF] |
| 23 August |
Supervisory notice |
M Young Legal Associates Limited [ PDF ] |
| 15 August |
Final notice |
Christopher Brown trading as C J Brown [PDF] |
| 15 August |
Final notice |
Stephen Green trading as SG Mortgage Consultancy[PDF] |
| 15 August |
Final notice |
Assist [PDF] |
| 15 August |
Final notice |
Hogarth Phillips Associates Limited [PDF] |
| 15 August |
Final notice |
Gordon Miller trading as Foxdene Corporate Finance [PDF] |
| 14 August |
Handbook publication |
Handbook Release 68 |
| 14 August |
Newsletter |
Financial Crime Newsletter - Issue 8 [PDF] |
| 13 August |
Newsletter |
General Insurance Newsletter Issue 13 [PDF] |
| 13 August |
Newsletter |
Life Insurance Newsletter Issue 11 [PDF] |
| 13 August |
Undertaking |
Barclays Bank PLC, trading under the name of Woolwich (Barclays Bank PLC) [PDF] |
| 7 August |
Policy statement |
PS07/15: Best execution - Feedback on DP06/3 and CP06/19 (part) |
| 7 August |
Speech |
Treating Customers Fairly - Principles-based regulation in practice |
| 6 August |
Final notice |
Virendra Rai Agarwala (trading as Abbex Insurance) [PDF] |
| 6 August |
Undertaking |
Hayburn Rock Associates Ltd [PDF] |
| 3 August |
Final notice |
Shaun Gomersall trading as Prince Regent Cars [PDF] |
| 1 August |
Press release |
Mortgage exit administration fees (MEAFs): an update |
| 1 August |
Press release |
Two firms fined, one censured for management failings on mortgage advice |
| 1 August |
Final notice |
Lawrence Scoffield Mortgages Limited [PDF] |
| 1 August |
Final notice |
Mortgage Network Solutions [PDF] |
| 1 August |
Final notice |
Council Homebuyers (Midlands & North) Limited [PDF] |
| 31 July |
Final notice |
Majid Hussain trading as Supreme Insurance Services [PDF] |
| 31 July |
Final notice |
Intelligent Finance Corporation Limited [PDF] |
| 31 July |
Final notice |
Elrig Autos [PDF] |
| 31 July |
Press release |
FSA aims to streamline regulatory returns |
| 31 July |
Consultation paper |
CP07/17: Integrated Regulatory Reporting (IRR): Changes to reporting requirements affecting most firms |
| 31 July |
Newsletter |
Asset Management Sector Newsletter - Issue 7 [PDF] |
| 31 July |
Miscellaneous |
FSA process guide to decision making on Schemes of Arrangement for insurance firms |
| 30 July |
Press release |
FSA confirms decision to retain consumer protection measures in revised investment rules |
| 30 July |
Policy statement |
PS07/14: Reforming Conduct of Business Regulation - Final feedback on CP06/19 |
| 30 July |
EU document |
Transaction Reporting Users Pack (TRUP) [PDF] |
| 27 July |
Dear CEO letter |
Handling complaints about unauthorised overdraft charges [PDF] |
| 27 July |
Press release |
New FSA Training and Competence regime will be simpler and more principles-based |
| 27 July |
Policy statement |
PS07/13: The Training and Competence Sourcebook Review: Feedback on CP07/4 and final rules |
| 27 July |
Policy statement |
PS07/12: Decision Procedure and Penalties Manual and the Enforcement Guide - Feedback on CP07/2 |
| 27 July |
Handbook publication |
Handbook Notice 68 [PDF] |
| 27 July |
Handbook publication |
Handbook Development (Issue 89) [PDF] |
| 27 July |
Press release |
FSA grants waiver to firms on complaints handling |
| 26 July |
Press release |
Financial Services Authority confirms Portman Building Society merger with the Nationwide Building Society |
| 26 July |
Decision notice |
Portman Building Society / Nationwide Building Society [PDF] |
| 26 July |
Press release |
FSA issues latest publications to support delivery of TCF initiative: Culture and Management Information |
| 26 July |
FSA paper |
Treating customers fairly - a guide to management information [PDF] |
| 26 July |
FSA paper |
Treating customers fairly - culture [PDF] |
| 25 July |
Dear CEO letter |
Managing Compliance Risk in Major Investment Banks - Good Practices [PDF] |
| 25 July |
Newsletter |
List! Issue No.16 [PDF] |
| 25 July |
Newsletter |
Financial advisers newsletter - Issue 9 [PDF] |
| 23 July |
Joint consultation |
Proposals for a UK Recognised Covered Bonds legislative framework [PDF]
A joint consultation document by HM Treasury and the FSA
Summary newsletter [PDF] |
| 19 July |
Speech by John Tiner |
CEO's speech at the FSA Annual Public Meeting |
| 18 July |
Consultation paper |
CP07/16: Consequential Handbook Amendments (arising from implementation of
MiFID and creation of NEWCOB) |
| 18 July |
Speech by Katherine Webster |
Treating Customers Fairly and Fairness in Contract Terms |
| 17 July |
Final notice |
Landmark Finance [PDF] |
| 17 July |
Final notice |
Mr John Adebayo Adepoju [PDF] |
| 17 July |
Consultation paper |
External Assurance on Regulatory Returns |
| 17 July |
Handbook publication |
Handbook Release 67 |
| 16 July |
Policy statement |
PS07/11: Responsibilities of Providers and Distributors for the fair treatment of customers - Feedback on DP06/4 |
| 16 July |
Press release |
FSA issues Guidance on provider and distributor responsibilities |
| 13 July |
Press release |
Hector Sants appointed FSA chief executive |
| 13 July |
Miscellaneous |
Delivering better regulatory outcomes - July 2007 update [PDF] |
| 13 July |
Miscellaneous |
The roles and responsibilities of the FSA and the OFT [PDF] |
| 12 July |
Speech |
Retail Distribution Review: Preparing the ground for debate |
| 11 July |
Miscellaneous |
Automated Anti-Money Laundering Transaction Monitoring Systems [PDF] |
| 11 July |
Speech by Nausicaa Delfas and Sarah Harding |
Principles-based regulation and Treating Customers Fairly |
| 10 July |
Policy statement |
PS07/10: Implementing the Regulatory Reform Order in relation to guidance |
| 12 July |
Press release |
Financial Services Compensation Scheme Board Appointment |
| 12 July |
Press release |
Firms agree to change the way they sell PPI over the internet |
| 9 July |
Letter to listed companies |
Financial Reporting Procedures in Listed Companies [PDF] |
| 9 July |
Policy statement |
PS07/9: Treating Complainants Fairly - Feedback on CP06/19 (part) and made rules |
| 9 July |
Consultation Paper |
CP07/14: Dispute Resolution: the Complaints sourcebook - Further simplification and minor changes |
| 9 July |
Newsletter |
Comparative tables: Bulletin number 8 - Payment protection insurance and unsecured personal loan comparative tables [PDF |
| 6 July |
Consultation Paper |
CP07/13: Quarterly Consultation Paper No.13 |
| 5 July |
Speech |
Keynote address on anti money laundering and financial crime |
| 5 July |
Report |
Review of private banks’ anti-money laundering systems and controls [PDF] |
| 5 July |
Press release |
FSA launches discussion on oversight of trading in MTF shares |
| 5 July |
Discussion Paper |
DP07/3: Trading of MTF shares: impact of proposed stamp duty changes |
| 5 July |
Press release |
FSA publishes a review of Personal Investment Firms' Prudential Requirements |
| 5 July |
Discussion Paper |
DP07/4: Review of the Prudential Rules for Personal Investment Firms |
| 4 July |
Final notice |
John McDonnell trading as Mortgage and Loans Direct [PDF] |
| 4 July |
Press release |
FSA finds poor practice by intermediaries and lenders within sub-prime market |
| 4 July |
Miscellaneous |
Good Practice Examples – Interest-only mortgages [PDF] |
| 4 July |
Miscellaneous |
Mortgages running into retirement Examples of good and poor practice for mortgage lenders [PDF] |
| 4 July |
Final notice |
Earlybird Finance Ltd [PDF] |
| 4 July |
Final notice |
Yvonne Spring [PDF] |
| 2 July |
Speech |
Reflections of a soon to be former regulator |
| 2 July |
Press release |
FSA publishes conclusions of M&A inside information review |
| 2 July |
Newsletter |
Market Watch Newsletter - Issue 21 [PDF] |
| 29 June |
Speech by Margaret Cole |
The FSA's Market Abuse Strategy: Prevention & Cure |
| 29 June |
Handbook publication |
Handbook development newsletter - Issue 88 |
| 29 June |
Handbook publication |
Handbook Notice 67 |
| 29 June |
Policy statement |
PS07/8: Amendments to the Prospectus and Listing Rules - Feedback on CP06/17 and made rules |
| 29 June |
Press release |
FSA publishes further independent research on the benefits of financial regulation |
| 29 June |
Oxera Report |
Assessment of the benefits of the FSA suitability letter [PDF] |
| 29 June |
Press release |
FSA publishes feedback and further consultation on Listing Review for Investment Entities |
| 29 June |
Consultation paper |
CP07/12: Investment Entities Listing Review - Further consultation, feedback on CP06/21, policy statement on CP06/4 and CP06/21 and final Handbook text |
| 29 June |
Press release |
FSA sets out a principles-based future for general insurance regulation |
| 29 June |
Consultation paper |
CP07/11: Insurance selling and administration - proposed amendments to the Insurance: Conduct of Business Sourcebook |
| 27 June |
Speech by Dan Waters |
Regulation can encourage the desired outcomes |
| 27 June |
Press release |
FSA publishes first paper from the Retail Distribution Review |
| 27 June |
Speech by Callum McCarthy |
Why the Retail Distribution Review matters |
| 27 June |
Speech by Clive Briault |
The future of retail distribution |
| 27 June |
Discussion paper |
DP07/2: Platforms: the role of wraps and fund supermarkets |
| 27 June |
Discussion paper |
DP07/1: A Review of Retail Distribution |
| 26 June |
Dear CEO letter |
Corporate governance of recognised bodies [PDF] |
| 26 June |
FSA Statement |
FSA response to the Treasury's announcement on bundled travel insurance |
| 25 June |
Speech by Deirdre Hutton |
Financial Education Matters – who should do it and who should pay? |
| 25 June |
Consultation paper |
Notification Obligations under the Investment Exchanges and Clearing House Act |
| 21 June |
Press release |
FSA publishes Annual Report for 2006/07 |
| 21 June |
Corporate document |
Annual Report 2006/07 |
| 20 June |
Press release |
FSA begins recruitment drive for university Money Doctors |
| 20 June |
Press release |
FSA appoints new Director of Retail Firms Division |
| 20 June |
Speech by Nausicaa Delfas |
Financial Promotions: Principles in Action |
| 19 June |
Speech by Andrew Sykes |
NEWCOB: The practical implications |
| 18 June |
Application refusal |
Mortgage Plus [N.I.] Limited ("Mortgage Plus") and Mr Richard Kirk McClure ("Mr McClure") [PDF] |
| 18 June |
Final notice |
Smarter Finance Services Limited (In Liquidation) [PDF] |
| 18 June |
Final notice |
Affinity Property Finance Ltd [PDF] |
| 18 June |
Final notice |
Chant and Professional Associates [PDF] |
| 18 June |
Final notice |
Housing Insurance Services Ltd [PDF] |
| 18 June |
Speech by Sarah Wilson |
Reinsurance: challenges and the regulator's response |
| 15 June |
Final notice |
Dragon Leasing Limited [PDF] |
| 11 June |
Press release |
FSA fines adviser firm £42,000 for management and complaints handling failings |
| 11 June |
Final notice |
Kilminster Financial Management Limited [PDF] |
| 11 June |
Press release |
FSA publishes feedback on private equity risks |
| 11 June |
Feedback statement |
FS07/3: Private equity: a discussion of risk and regulatory engagement - Feedback on DP06/6 |
| 8 June |
Handbook release |
Handbook Release 66 |
| 8 June |
Newsletter |
Mortgage Advisers Newsletter - Issue 8 [PDF] |
| 8 June |
Pension publications |
Results of the FSA's thematic work on contracting out of the additional State Pension |
| 7 June |
Press release |
FSA bans illegal insurer from management for life |
| 6 June |
Speech by Thomas Huertas |
The Future of Retail Banking in the UK |
| 5 June |
Speech by Vernon Everitt |
Delivering Fair Outcomes for Consumers |
| 4 June |
Final notice |
David William King [PDF] |
| 4 June |
Consumer research |
Evaluation of FSA Financial Capability Training for Youth Work Professionals [PDF] |
| 1 June |
Final notice |
Phoenix IFA Limited [PDF] |
| 1 June |
Final notice |
Nilmini Perera [PDF] |
| 1 June |
Final notice |
Lisburne Motors Limited [PDF] |
| 1 June |
Final notice |
Andrew James Jackson, trading as Jacksons of Shipdham Car Sales [PDF] |
| 31 May |
Newsletter |
Financial advisers newsletter - Issue 8 [PDF] |
| 31 May |
Press release |
FSA publishes final regulatory fees and levies for 2007/08 |
| 31 May |
Policy statement |
PS07/7: Consolidated Policy Statement on our fee-raising arrangements and regulatory fees and levies 2007/08 - including feedback on CP07/3 and ‘made rules’ |
| 31 May |
Press release |
New investment business rules mark significant move to principles-based regulation |
| 31 May |
Policy statement |
PS07/6: Reforming Conduct of Business Regulation - Feedback on CP06/19 and CP06/20 |
| 31 May |
Miscellaneous |
CRA Report: An Empirical Investigation into the Effects of the Menu [PDF] |
| 30 May |
Miscellaneous |
Building Society Statistics for 2006 |
| 25 May |
Handbook publication |
Handbook Development Newsletter (Issue 87) [ PDF ] |
| 25 May |
Handbook publication |
Handbook Notice 66 [PDF] |
| 25 May |
Final notice |
Anthony Catt trading as Tony Catt Independent Financial Adviser [PDF] |
| 25 May |
Final notice |
Actionquote Limited [PDF] |
| 25 May |
Final notice |
Carl Watson trading as Watsons [PDF] |
| 25 May |
Final notice |
David Jose trading as Priory Mortgage Services [PDF] |
| 25 May |
Final notice |
Waheed Hanif trading as The Broker Group [PDF] |
| 25 May |
Final notice |
A.S. Insurance Brokers Limited [PDF] |
| 24 May |
FSA paper |
The FSA's Pillar 2 assessment framework |
| 24 May |
Speech by Stephen Bland |
Towards excellence in regulation |
| 24 May |
Newsletter |
MarketWatch Issue No.20 [PDF] |
| 23 May |
Final notice |
Kawasaki (Newcastle-upon-Tyne) Limited [PDF] |
| 23 May |
Speech by Dan Waters |
The future of UK regulation |
| 23 May |
Speech by Clive Briault |
The FSA's retail agenda |
| 23 May |
Press release |
Portman and Nationwide Building Societies: merger confirmation hearing |
| 22 May |
First Supervisory Notice |
Qamar Hussain (trading as Radiant Technological Services) [ PDF ] |
| 22 May |
Speech by Sally Dewar |
Market Abuse Policy & Enforcement in the UK |
| 22 May |
EU document |
MiFID Permissions and notifications guide [PDF] |
| 22 May |
Press release |
FSA tells small retail firms they are on the regulatory radar |
| 22 May |
Speech by Stephen Bland |
Small firms - under the radar? |
| 22 May |
Press release |
FSA finds significant improvement in home and motor insurance press advertising |
| 21 May |
Final notice |
Reinvention Limited [PDF] |
| 21 May |
Final notice |
Kenneth Lincoln Evans (trading as City Finance) [PDF] |
| 21 May |
Final notice |
Abimbola Mojeed Hassan (trading as Home Mortgage Broker) [PDF] |
| 21 May |
Press release |
FSA concludes split capital investment trust investigation |
| 17 May |
Handbook publication |
Handbook Release 65 |
| 17 May |
Press release |
FSA expects firms to do more to treat consumers with life insurance products fairly |
| 17 May |
Consumer research |
With-profits research [PDF] |
| 17 May |
Sector briefing |
Insurance Sector Briefing: Quality of post-sale communications in the life sector and availability of ongoing advice to with-profits policyholders [PDF] |
| 16 May |
Speech by Mandy Spink |
Small mortgage advisers: Reasons to engage with the FSA |
| 16 May |
Press release |
FSA confirms Industry Guidance on outsourcing |
| 15 May |
Final notice |
Mr Nigel Roy Thomas Layton [PDF] |
| 15 May |
Press release |
FSA fines Charterhouse £122,500 for unauthorised portfolio management |
| 15 May |
Newsletter |
Financial Crime Sector newsletter - Issue 7 [PDF] |
| 11 May |
Speech by Katherine Webster |
Towards Fairer outcomes for consumers through principles-based regulation |
| 11 May |
Final notice |
Charterhouse Consulting Wealth Management Limited [PDF] |
| 11 May |
Final notice |
Ashdown Partnership [PDF] |
| 11 May |
Final notice |
Online Insurance Consultants Limited [PDF] |
| 10 May |
Speech by John Tiner |
ABI Annual Conference |
| 10 May |
Speech |
Principles-based regulation - moving from theory to practice |
| 10 May |
Press release |
FSA fines BNPP Private Bank £350,000 for weak anti-fraud controls |
| 10 May |
Final notice |
BNP Paribas Private Bank SA London Branch (“BNPP Private Bank”) [PDF] |
| 9 May |
First Supervisory Notice |
Corby Community Credit Union Limited ('Corby') [ PDF ] |
| 9 May |
Speech by Verena Ross |
Managing risk in government and business |
| 9 May |
Press release |
Contracting out of SERPS/S2P: FSA finds no widespread mis-selling |
| 8 May |
Press release |
FSA announces progress made on TCF and sets further deadline |
| 8 May |
Report |
Treating Customers Fairly Initiative: Progress Report [PDF] |
| 4 May |
Speech |
Why journalists matter |
| 4 May |
Final notice |
The Carnation Limited [PDF] |
| 4 May |
Final notice |
The Caravan Sales Centre Limited [PDF] |
| 3 May |
Newsletter |
General Insurance Newsletter - Issue 12 [PDF] |
| 3 May |
Consultation paper |
CP07/9: Conduct of Business regime: non-MiFID deferred matters |
| 3 May |
Newsletter |
Life Insurance Newsletter - Issue 10 [PDF] |
| 1 May |
Press release |
FSA prohibition action following failings in connection with pension transfers |
| 1 May |
Dear CEO letter |
Annuitant longevity improvements [PDF] |
| 30 April |
Statement |
Response to the National Audit Office's Economy, Efficiency and Effectiveness Review of the Financial Services Authority |
| 27 April |
Final notice |
Mr Ivan Frank Richards [PDF] |
| 27 April |
Final notice |
Mrs Valerie Ann Richards [PDF] |
| 27 April |
Press release |
Retail distribution review: Conference will update on progress |
| 27 April |
Handbook publication |
Handbook Notice 65 [PDF] |
| 27 April |
Handbook publication |
Handbook Development (Issue 86) [ PDF ] |
| 27 April |
Speech by Vernon Everitt |
Regulators and the Ombudsman - the critical role of the Financial Ombudsman Service |
| 26 April |
First Supervisory Notice |
Mr John Adebayo Adepoju Trading as Landmark Finance [ PDF ] |
| 25 April |
MOU |
Memorandum of understanding between CONSOB and FSA concerning ICE Futures [PDF] |
| 25 April |
Speech by Clive Briault |
The importance of personal finance education |
| 25 April |
Press release |
FSA tells firms to improve general insurance sales standards when cold calling |
| 25 April |
Speech by Tony Katz |
The FSA's approach to supervising financial promotions under the New Principles-Based Requirements |
| 25 April |
Miscellaneous |
General Insurance Telephone Sales: Results of thematic work [PDF] |
| 24 April |
Speech by John Tiner |
Harnessing the market through principles and disclosure |
| 23 April |
Speech by Clive Briault |
Principles-based regulation in the retail market |
| 23 April |
Handbook publication |
Handbook Release 64 |
| 23 April |
Speech by John Tiner |
Keynote address - MPBR conference |
| 23 April |
Newsletter |
List! Issue No. 15 - Supplementary Edition [PDF] |
| 23 April |
Press release |
FSA sets out future of regulation |
| 23 April |
FSA paper |
Principles-based regulation - Focusing on the outcomes that matter [PDF] |
| 20 April |
Final notice |
Neil Haworth [PDF] |
| 20 April |
Speech by Clive Briault |
Risks in the mortgage market: A regulator's view |
| 19 April |
Speech by Michael Folger |
UK Implementation of MiFID |
| 19 April |
Press release |
FSA fines Sesame £330,000 for SCARPs complaints handling failures |
| 19 April |
Final notice |
Sesame Limited [PDF] |
| 19 April |
Final notice |
Alan Cumming trading as A C Finance [PDF] |
| 19 April |
Final notice |
Philip Owen Corrigan trading as A-T Motor Services [PDF] |
| 19 April |
Final notice |
Autodirect Central Limited [PDF] |
| 19 April |
Final notice |
Errol George Dayes trading as Advantageous Mortgages [PDF] |
| 19 April |
Final notice |
Insurance & Liability Management Limited [PDF] |
| 19 April |
Final notice |
KSA Finance Limited [PDF] |
| 18 April |
Speech by John Tiner |
Developments in global derivatives markets: challenges for regulators |
| 18 April |
Speech by Callum McCarthy |
EU:US dialogue on financial services |
| 17 April |
Press release |
FSA finds many small firms that employ compliance consultants are not acting on the advice they are given |
| 17 April |
Pension publication |
Self Invested Personal Pensions (SIPPs) now regulated by the FSA |
| 13 April |
Press release |
FSA maintains a tough stance with small firms on minimum standards |
| 12 April |
Newsletter |
CRD Implementation Bulletin Issue 6 - Investment firms [PDF] |
| 12 April |
Newsletter |
CRD Implementation Bulletin Issue 6 - Banks and building societies [PDF] |
| 12 April |
Speech by Dan Waters |
Hedge funds - new regulatory challenges |
| 12 April |
Press release |
FSA fines former finance director £30,000 for principles breaches |
| 12 April |
Final notice |
Mr David Whistance [PDF] |
| 11 April |
Press release |
FSA bans insurance broker for management failings |
| 11 April |
Press release |
Financial Ombudsman Service funding arrangements: Feedback Statement |
| 11 April |
Feedback statement |
FS07/2: Financial Ombudsman Service compulsory jurisdiction: funding review |
| 10 April |
MOU |
Memorandum of Understanding between the Financial Services Authority and the Financial Ombudsman Service [PDF] |
| 10 April |
Press release |
Mortgage Effectiveness Review: focusing on higher risk areas |
| 5 April |
Bulletin |
Financial Promotions Bulletin [PDF] |
| 5 April |
Press release |
All systems go for new home finance regulation |
| 5 April |
Final notice |
Field and Sons Limited [PDF] |
| 5 April |
Final notice |
Sure Field Marketing Limited [PDF] |
| 5 April |
Consultation paper |
CP07/8: Quarterly consultation (No.12) |
| 4 April |
Statement |
Update on the Investment Entities Listing Review |
| 4 April |
Press release |
FSA updates on investment entities listing rules |
| 2 April |
Newsletter |
Credit Unions newsletter- Issue 5 [PDF] |
| 30 March |
Newsletter |
Asset Management Sector Newsletter Issue 6 [PDF] |
| 29 March |
Speech by Dan Waters |
FSA Regulation of Alternative Investments |
| 29 March |
Press release |
Solicitors made bankrupt for assisting boiler room |
| 29 March |
Press release |
Consumers to benefit from PPI refunds agreement |
| 28 March |
Final notice |
Alan Garlick [PDF] |
| 28 March |
Speech by Deirdre Hutton |
T&C in a principles-based world |
| 28 March |
Press release |
FSA announces funding for three development workers for the Scottish Centre for Financial Education |
| 28 March |
Speech by Vernon Everitt |
Financial capability and education in Scotland |
| 28 March |
Newsletter |
Financial advisers newsletter - Issue 7 [PDF] |
| 28 March |
Press release |
FSA frees up rules for unit-linked investments |
| 28 March |
Consultation paper |
CP07/7: Permitted Links for Long Term Insurance Business |
| 27 March |
Consumer research |
Financial crime - stakeholder research [PDF] |
| 27 March |
Press release |
Wider access for retail customers to alternative investments |
| 27 March |
First supervisory notice |
Dragon Leasing Limited [ PDF ] |
| 27 March |
Consultation paper |
CP07/06: Funds of Alternative Investment Funds (FAIFs) |
| 26 March |
Press release |
FSA publishes review of the commodities market |
| 26 March |
FSA paper |
Growth in Commodity Investment: risks and challenges posed for commodity market participants [PDF] |
| 26 March |
Press release |
Lone parent, carer and elderly groups to benefit from FSA's Innovation Fund |
| 24 March |
Speech by Callum McCarthy |
Trends in financial regulation in times of globalisation |
| 23 March |
Policy statement |
Perimeter Guidance relating to MiFID - Feedback on CP06/9 and CP06/14 |
| 23 March |
Handbook publication |
Handbook Notice 64 [PDF] |
| 23 March |
Handbook publication |
Handbook Development Newsletter 85 [PDF] |
| 23 March |
Speech by Vernon Everitt |
Financial capability and inclusion - the FSA's role |
| 22 March |
Final notice |
Mark Postle-Hacon trading as PHC Management Limited [PDF] |
| 22 March |
Handbook document |
Key Rules for Mortgage and Home Reversion Brokers [ PDF ] |
| 21 March |
Speech by John Tiner |
Principles-based regulation - looking to the future |
| 21 March |
FSA Statement |
Bank Sepah International |
| 21 March |
First Supervisory Notice |
Litaid Limited [ PDF ] |
| 21 March |
Press release |
FSA moves towards a more principles-based and proportionate approach to general insurance regulation |
| 21 March |
Miscellaneous |
ICOB review |
| 20 March |
Press release |
FSA fines analyst for market misconduct |
| 20 March |
Speech by Sarah Wilson |
Solvency 2 |
| 20 March |
Press release |
FSA sets out reforms to funding of Compensation Scheme |
| 20 March |
Consultation paper |
CP07/5: Financial Services Compensation Scheme Funding Review - Including feedback on DP06/1 |
| 19 March |
Speech by Sarah Wilson |
Treating Customers Fairly - Progress and Next Steps |
| 17 March |
Speech by Margaret Cole |
Insider Dealing in the City |
| 16 March |
Handbook publication |
Handbook Release 63 |
| 15 March |
Final notice |
Romaine Noir Limited [PDF] |
| 14 March |
Speech by Margaret Cole |
FSA Enforcement briefing: BBA Conference |
| 14 March |
Speech |
TCF and customer impact |
| 14 March |
Speech |
Payment Protection Insurance: Latest developments from the FSA |
| 14 March |
Press release |
FSA supports IOSCO Principles for the valuation of Hedge Fund Portfolios |
| 13 March |
Press release |
FSA tells general insurance intermediaries no excuse for failing to protect client money |
| 12 March |
Application refusal |
Helen Rimmer Property Management Services Limited (HRPMSL) [PDF] |
| 12 March |
Speech |
FSA regulation of alternative investments |
| 12 March |
Final notice |
Mr Leo Kusi-Appiah trading as Oxford House Financial Services [PDF] |
| 12 March |
Final notice |
Mr Leo Kusi-Appiah [PDF] |
| 12 March |
Final notice |
Marten Terrence Cox Waugh trading as Marten Waugh Company [PDF] |
| 12 March |
Press release |
FSA launches £2 million campaign to help consumers get a grip on insurance |
| 12 March |
Newsletter |
MarketWatch Issue No.19 [PDF] |
| 9 March |
Application refusal |
Mrs Owolabi Trading as Josh & Co [PDF] |
| 9 March |
Final notice |
V. G. Mortgage Services Limited [PDF] |
| 7 March |
Speech |
More principles-based regulation and Treating Customers Fairly |
| 7 March |
Press release |
FSA publishes updated measure of UK market cleanliness |
| 7 March |
Occasional paper |
Updated measurement of market cleanliness [ PDF ] |
| 6 March |
Final notice |
Kawasaki (Newcastle-upon-Tyne) Limited [ PDF ] |
| 6 March |
Sarah Wilson |
ICAS refreshed: an FSA perspective |
| 6 March |
Press release |
FSA tackles financial crime in the insurance industry |
| 5 March |
Speech by Callum McCarthy |
Institute of International Bankers |
| 2 March |
Final notice |
(Abimbola Mojeed Hassan trading as) Home Mortgage Broker [ PDF ] |
| 28 February |
Final notice |
William Rose (trading as Rose and Partners) [PDF] |
| 28 February |
Final notice |
Herbie Smyton trading as Newline Financial Services [PDF] |
| 28 February |
Press release |
FSA simplifies training and competence rules for retail business |
| 28 February |
Consultation paper |
CP07/4: The Training and Competence Sourcebook Review |
| 28 February |
Miscellaneous |
Report by Europe Economics
The Training and Competence Sourcebook Review [PDF] |
| 27 February |
Speech by Callum McCarthy |
The world we live in |
| 27 February |
Speech by Dan Waters |
AIC Conference - keynote speech |
| 27 February |
Speech by Sarah Wilson |
Supervision in a Principles Based World |
| 27 February |
Press release |
FSA acts to stops UK firm from assisting overseas boiler rooms |
| 26 February |
Press release |
Almost 70% of people shop around to get the best deals on new gadgets. But only 43% bother to compare deals on life insurance |
| 26 February |
FSA Statement |
FSA keeps RU 64 rule |
| 26 February |
Feedback statement |
FS07/1: Suitability Standards for advice on Personal Pensions - Feedback on CP05/8 |
| 26 February |
Press release |
FSA imposes a public censure on Cathedral Motor Company Limited |
| 26 February |
Final notice |
Cathedral Motor Company Limited (trading as Arbury) [PDF] |
| 23 February |
Occasional paper |
OP24: An empirical analysis of European life insurance portfolio regulations [ PDF ] |
| 23 February |
Handbook publication |
Handbook Development: Issue 84 [ PDF ] |
| 23 February |
Handbook publication |
Handbook Notice 63 [PDF] |
| 22 February |
Final notice |
Russell George Howe trading as Howe Car Sales [PDF] |
| 22 February |
Press release |
£1 million a year saving for firms in Approved Persons simplification |
| 22 February |
Policy statement |
PS07/4: Reforming the Approved Persons regime - Feedback on CP06/15 (Merging the Customer Functions) and final rules |
| 22 February |
Press release |
FSA fines investment firm £14,000 for 'income withdrawal' failings |
| 22 February |
Final notice |
Regency Investment Services Ltd [PDF] |
| 21 February |
Final notice |
Glenis Wild trading as Trafalgar Finance [PDF] |
| 21 February |
Final notice |
Temple Property Consultants Limited [PDF] |
| 21 February |
Final notice |
Mns Services [PDF] |
| 20 February |
Speech by Edna Young |
Fraud Management in the Financial Services Sector |
| 20 February |
Speech by Andrew Sykes |
MiFID for Asset Managers |
| 20 February |
Final notice |
Peter Lindsay Freeman Hendry (trading as The Financial Practice) [PDF] |
| 16 February |
Handbook publication |
Handbook Release 62 |
| 16 February |
Miscellaneous |
Letter to the Independent Banking Code Review
FSA Submission to the 2007 Review of the Banking Code [PDF] |
| 16 February |
Press release |
FSA acts to halt boiler room activities |
| 15 February |
FSA Statement |
FSA Statement: FSA Market Abuse Enquiry: Northern Lynx plc |
| 15 February |
Miscellaneous |
Letter to regulated firms conducting lifetime mortgage business
Lifetime Mortgages - firms carrying out low volumes of business [PDF] |
| 15 February |
Newsletter |
Mortgage Advisers Newsletter [PDF] |
| 15 February |
Press release |
FSA fines Capital One for PPI sales failures |
| 15 February |
Final notice |
Capital One Bank (Europe) Plc [PDF] |
| 14 February |
Press release |
FSA fines Nationwide £980,000 for information security lapses |
| 14 February |
Final notice |
Nationwide Building Society [PDF] |
| 13 February |
Speech by Callum McCarthy |
Financial regulation: Myth and reality |
| 12 February |
Speech by Dan Waters |
NEWCOB and more principles-based regulation |
| 12 February |
Press release |
FSA fines investment firm £10,500 for the failings of its subsidiary |
| 9 February |
Final notice |
Trigon Pensions Limited [PDF] |
| 8 February |
First Supervisiory Notice |
Skelmersdale Credit Union Limited [PDF] |
| 8 February |
Newsletter |
Publications update [PDF] |
| 7 February |
Final notice |
David Anthony Jones (trading as D Jones Investments) [PDF] |
| 6 February |
Press release |
FSA Business Plan details drive towards more principles-based regulation |
| 6 February |
Corporate document |
Business Plan 2007/08 |
| 6 February |
Consultation paper |
CP07/03: Regulatory fees and levies 2007/08 |
| 1 February |
Final notice |
First Call Insurance Consultants Limited [PDF] |
| 1 February |
Press release |
FSA appoints new director |
| 31 January |
Speech by Thomas Huertas |
Counting on compliance: The implications of more principles-based regulation |
| 31 January |
EU information |
MiFID - Article 4 notification to the European Commission |
| 31 January |
Press release |
FSA urges firms to improve stress testing |
| 31 January |
Corporate document |
Financial Risk Outlook 2007 |
| 30 January |
Miscellaneous |
Review of firms' approach to time barring mortgage endowment complaints (MECs) [PDF] |
| 30 January |
Press release |
New group to help the FSA to enhance the coherence of its retail regulation of savings agenda |
| 30 January |
Press release |
FSA fines GE Capital Bank |
| 26 January |
Final notice |
GE Capital Bank Limited [PDF] |
| 29 January |
Press release |
Financial Services Compensation Scheme Board appointments |
| 26 January |
Policy statements |
PS07/1: Integrated Regulatory Reporting (IRR): Certain investment firms - Feedback on Part II & III of CP06/11 and made text |
| 26 January |
Press release |
Deadline met for transposing MIFID rules |
| 26 January |
Policy statements |
PS07/2: Implementing the Markets in Financial Instruments Directive (MiFID) - Feedback on CP06/14, CP06/19 and CP06/20 |
| 26 January |
Handbook publication |
Handbook Notice 62 [ PDF | |
| 26 January |
Handbook publication |
Handbook Development Newsletter (Issue 83) [ PDF ] |
| 26 January |
Policy statements |
Reforming the Approved Persons regime - Feedback on Section IV of CP06/15 |
| 26 January |
Press release |
FSA statement on mortgage exit administration fee increases |
| 26 January |
Miscellaneous document |
Fairness of terms in consumer contracts: Statement of good practice on mortgage exit administration fees (MEAFs) [PDF] |
| 25 January |
Speech by Sally Dewar |
Private Equity: a Discussion of Risk and Regulatory Engagement |
| 25 January |
Final notice |
George Robert Piggott [PDF] |
| 25 January |
Press release |
FSA bans IFA from doing business |
| 25 January |
Final notice |
Olukayode Osun-Benjamin trading as Waterhouse Finance [PDF] |
| 25 January |
Final notice |
Robert Holmes trading as B J Holmes and Son [PDF] |
| 25 January |
Final notice |
MCCS International Limited [PDF] |
| 25 January |
Final notice |
David Charles Brady trading as David Brady Business Finance [PDF] |
| 24 January |
Press release |
College of Euronext Regulators sign Memorandum of Understanding with the SEC |
| 24 January |
Press release |
FSA recognises industry solution to contract certainty |
| 24 January |
MOU |
Memorandum of understanding between the FSA and the Isle of Man Insurance and Pensions Authority [PDF] |
| 23 January |
FSA Statement |
FSA appointed as competent authority under Consumer Protection Co-operation Regulation |
| 22 January |
Speech by John Tiner |
Annual Financial Crime Conference |
| 22 January |
Speech by Philip Robinson |
Annual Financial Crime Conference |
| 22 January |
Press release |
New FSA team to crack down on financial crime |
| 19 January |
Speech by Callum McCarthy |
Issues for financial supervisors in Europe - the decade to come |
| 18 January |
Speech by Dan Waters |
Opening up European markets for fund distribution:the impact of MiFID on UCITS distribution |
| 18 January |
Final notice |
Castle Cars (Southport) Limited [PDF] |
| 18 January |
Final notice |
Motorcycle Store Limited [PDF] |
| 18 January |
Final notice |
Motorcycle and Scooter Warehouse [PDF] |
| 18 January |
Final notice |
Ian Forster trading as Ian Forster Specialist Cars [PDF] |
| 18 January |
Final notice |
David and Frank Shepherd [PDF] |
| 18 January |
Final notice |
John Joseph Jeffers trading as The Dealmakers Finance Company [PDF] |
| 18 January |
Final notice |
Dwain Leaver t/a PHS Mortgage Brokers [PDF] |
| 18 January |
Final notice |
Colin Lowther trading as Bertie Lowther & Sons [PDF] |
| 18 January |
Final notice |
Assist GB Limited [PDF] |
| 18 January |
Final notice |
Craig Nevill trading as Mortgagehunter Independent Mortgage Services [PDF] |
| 18 January |
Final notice |
Grand Lodge of the United Kingdom Independent Order of English Mechanics Friendly Society (Preston Unity) |
| 18 January |
Press release |
FSA fines W Deb MVL Plc (formerly Williams de Broe Plc) £560,000 for breaches of FSA principles |
| 18 January |
Press release |
Retail Distribution Review: FSA announces members of industry groups |
| 17 January |
Application refusal |
Mr Anthony Reiff [ PDF ] |
| 17 January |
Application refusal |
APR Property Services Limited t/a Reiff & Co [PDF] |
| 17 January |
FSA Statement |
Christian Orpin trading as PDS Business Finance |
| 16 January |
Newsletter |
Financial advisers newsletter - Issue 6 |
| 16 January |
Press release |
John Tiner to step down as ceo in July 2007 |
| 16 January |
Press release |
'Savings claims' in insurance advertising can mislead consumers warns FSA' |
| 15 January |
Final Notice |
W Deb MVL PLC (formerly known as Williams de Broe Plc) |
| 11 January |
Press release |
FSA determined to see better practice in PPI sales |
| 11 January |
Press release |
Chairmen’s Committee approve proposed combination involving Euronext N.V. and NYSE Group Inc. |
| 10 January |
Consultation paper |
CP07/2: Review of the Enforcement and Decision making manuals |
| 9 January |
Final Notice |
Grant Sutherland Limited [PDF] |
| 8 January |
Press release |
FSA says firms need to improve mortgage advice processes |
| January |
Consultation paper |
CP07/1: Quarterly consultation (No. 11) |
| January |
Miscellaneous |
Market Wide Exercise 2006 Executive summary [PDF] |
| January |
Newsletter |
Credit Union Newsletter - Issue 4 [PDF] |
| January |
Newsletter |
Corporate governance in credit unions - key findings report [PDF] |
