| Date |
Type |
Subject |
| 30 December |
Press release |
FSA re-appoints Tim Herrington as Regulatory Decisions Committee chairman |
| 24 December |
Press release |
Financial Services Authority confirms Barnsley Building Society merger with the Yorkshire Building Society |
| 24 December |
Miscellaneous |
Decision by the Financial Services Authority on the applications of Barnsley Building Society and Yorkshire Building Society for confirmation of a transfer of engagements under Section 95 of the Building Societies Act 1986. [PDF] |
| 23 December |
Press release |
Two mortgage brokers banned for misleading the FSA |
| 22 December |
Consumer research |
Asset ownership, portfolios and retirement saving arrangements: past trends and prospects for the future [PDF] |
| 19 December |
Newsletter |
Handbook Development (Issue 106) [ PDF ] |
| 19 December |
Final notice |
Mr Andrew David Bowden trading as Scott Jarrett Bowden & Partners [PDF] |
| 19 December |
Final notice |
Mr Shaun Lawrence trading as Shaun Lawrence [PDF] |
| 19 December |
Press release |
FSA fines two individuals for market abuse |
| 19 December |
Press release |
FSA to explore more widely the issue of consumer responsibility |
| 19 December |
Discussion paper |
Consumer responsiblity |
| 19 December |
Press release |
FSA consults on changes to the rules for approved persons |
| 19 December |
Consultation paper |
CP08/25: The approved persons regime – significant influence function review |
| 19 December |
Miscellaneous |
Conduct of Business sourcebook (COBS) post-implementation review: 2008 statement on interim findings |
| 18 December |
Final notice |
Independent Mortgage Services (Leicester) [PDF] |
| 18 December |
Final notice |
Herodotos Roy Demosthenous trading as Channel Financial Services [PDF] |
| 18 December |
Final notice |
Hakeem Adewetan [PDF] |
| 18 December |
Final notice |
Fylde Superbikes Limited [PDF] |
| 18 December |
Final notice |
Finance Loans Solutions Limited [PDF] |
| 17 December |
Final notice |
Meridian Financial Services [PDF] |
| 17 December |
Final notice |
Misba Properties Limited [PDF] |
| 17 December |
Final notice |
One 2 One International Ltd [PDF] |
| 16 December |
Press release |
FSA confirms Catholic Building Society merger with the Chelsea Building Society |
| 16 December |
Miscellaneous |
Decision by the Financial Services Authority on the applications of Catholic Building Society and Chelsea Building Society for confirmation of a transfer of engagements under Section 95 of the Building Societies Act 1986 [PDF] |
| 16 December |
FSA Statement |
FSA Statement to accompany Feedback Statement 08/7 |
| 16 December |
Feedback statement |
Transparency, disclosure and conflicts of interest in the commercial insurance market |
| 12 December |
Letter |
Pension switching advice - important information from the FSA [PDF] |
| 11 December |
Press release |
Oxfordshire businessman fined £35,000 for lying about FSA authorisation |
| 11 December |
Press release |
FSA response to Practitioner Panel survey |
| 10 December |
Consultation paper |
Consultation on the legislative framework for the regulation of alternative finance investment bonds (sukuk) [PDF] |
| 10 December |
Press release |
Egg fined £721,000 and will compensate PPI customers |
| 10 December |
Final notice |
Egg Banking plc [PDF] |
| 10 December |
Factsheet |
Distributor-influenced funds: Points for distributors to consider [PDF] |
| 10 December |
Factsheet |
Distributor-influenced funds: Points for Authorised Corporate Directors, fund managers and platform providers to consider [PDF] |
| 9 December |
Consultation paper |
CP08/24: Stress and scenario testing |
| 8 December |
Speech by Thomas Huertas |
Model Myopia |
| 8 December |
Consultation paper |
CP08/23: Financial stability and depositor protection: FSA responsibilities |
| 8 December |
Press release |
Shareholders: Your personal details might be on a database shared by fraudsters |
| 8 December |
Letter to shareholders |
Unauthorised overseas brokers targeting UK consumers [PDF] |
| 8 December |
EU document |
FSA UK country report - The fourth Quantitative Impact Study (QIS4) for Solvency II [PDF] |
| 5 December |
Press release |
FSA takes action to address pension transfer advice failings |
| 5 December |
Policy Statement |
PS08/13: Decision Procedure and Penalties manual and Enforcement Guide Review 2008 |
| 5 December |
Miscellaneous |
Quality of advice on pension switching - A report on the findings of a thematic review [PDF] |
| 5 December |
Press release |
Barnsley and Yorkshire Building Societies: merger confirmation hearing |
| 5 December |
Policy Statement |
PS08/12: Sponsor Regime - A targeted regime |
| 5 December |
Handbook publication |
Handbook Notice 83 [PDF] |
| 5 December |
Miscellaneous |
Decision by the Financial Services Authority on the applications of Cheshire Building Society and Nationwide Building Society for Confirmation of a Transfer of Engagements under Section 95 of the Building Societies Act 1986 [PDF] |
| 5 December |
Final notice |
Cartel (Midlands) Ltd [PDF] |
| 5 December |
Final notice |
Cartel (Midlands) Ltd - and - Peter Applewhite [PDF] |
| 5 December |
Press release |
FSA confirms Cheshire Building Society merger with the Nationwide Building Society |
| 4 December |
First supervisory notice |
Noel Victor Heaney trading as Heaney Finance [PDF] |
| 4 December |
Press release |
FSA consults on liquidity rules for banks, building societies and investment firms |
| 4 December |
Consultation paper |
CP08/22: Strengthening liquidity standards |
| 2 December |
Speech |
Current issues in the mortgage market |
| 1 December |
Press release |
Clearer segments will help improve listing regime |
| 1 December |
Consultation paper |
CP08/21: Consultation on amendments to the Listing Rules and feedback on DP08/1 |
| 1 December |
Statement |
London Scottish Bank plc. |
| 30 November |
First supervisory notice |
London and Scottish Bank PLC [PDF] |
| 28 November |
Statement |
FSA Statement: David Lipsey to resign as chairman of Financial Services Consumer Panel |
| 28 November |
Miscellaneous |
Regular Premium Insurance Policies: Further clarification on the ICOBS requirement to disclose total premium |
| 28 November |
Press release |
FSA asks mortgage firms to review arrears and repossessions practice |
| 28 November |
Dear CEO letter |
Arrears and repossessions [PDF]
To the CEOs of firms which are either mortgage lenders or administrators |
| 27 November |
Press release |
FSA publishes proposed changes to Personal Investment Firms' prudential requirements |
| 27 November |
Consultation paper |
CP08/20: Review of the Prudential Rules for Personal Investment Firms (PIFs) |
| 27 November |
Press release |
FSA move allows separate deposit protection limits |
| 27 November |
Handbook |
Handbook Development Newsletter (Issue 105) [PDF] |
| 25 November |
Speech by Philip Robinson |
The FSA’s Agenda for Fighting Financial Crime in 2009 |
| 25 November |
Final notice |
Jem Insurance Services [PDF] |
| 25 November |
Final notice |
Matthew John Green [PDF] |
| 25 November |
Speech by Jon Pain |
The Retail Distribution Review - the key to our retail strategy |
| 25 November |
Speech by Adair Turner |
Delivering change in the retail market |
| 25 November |
Press release |
FSA's Retail Distribution Review proposals seek to establish a new level of consumer trust and confidence |
| 25 November |
Feedback statement |
FS08/6: Retail Distribution Review - Including feedback on DP07/1 and the Interim Report |
| 25 November |
Report |
Costing Intermediary Services Financial Assessment of Investment Intermediaries [PDF]
Report for the Financial Services Authority prepared by Deloitte and Touche LLP |
| 25 November |
Report |
A Basic Advice Regime Post-Implementation Review [PDF] (November 2008) |
| 25 November |
Report |
The market for Basic Advice [PDF] (November 2008)
Report of research studies carried out by Volterra Consulting |
| 25 November |
Consumer research |
Accessing investment products - Consumer perceptions of a simplified advice process [PDF] |
| 25 November |
Consumer research |
The Primary Advice concept: Quantitative consumer research and CHAID analysis [PDF] |
| 25 November |
Consumer research |
Primary Advice - Consumer perceptions of the Primary Advice concept [PDF] |
| 25 November |
Consumer research |
Consumer perceptions of Basic Advice [PDF] |
| 24 November |
First supervisory notice |
South West Durham Credit Union Limited [PDF] |
| 21 November |
Final notice |
Salman Ahmed Khan trading as Salman A Khan [PDF] |
| 21 November |
Press release |
FSA confirms Derbyshire Building Society merger with the Nationwide Building Society |
| 21 November |
Miscellaneous |
Decision by the Financial Services Authority on the applications of Derbyshire Building Socieity and Nationwide Building Society for confirmation of a Transfer of Engagements under Section 95 of the Building Societies Act 1986 [PDF] |
| 21 November |
Press release |
Insurance agents banned for illegal trading |
| 20 November |
Final notice |
Stephen Fryett [PDF] |
| 20 November |
Final notice |
Richard Baines [PDF] |
| 20 November |
Speech by Michael Knight |
The Continuing Obligations Regime - the FSA's role |
| 19 November |
Press release |
FSA welcomes Financial Services Skills Council's work to raise standards |
| 19 November |
Press release |
Insurance Directors banned for failing to ensure firm complied with client money rules |
| 18 November |
Statement |
Simon Gray gets 18 weeks suspended sentence |
| 18 November |
Speech by Verena Ross |
Risk management governance and controls and their importance in banking system and financial sector stability |
| 18 November |
Speech by Sarah Wilson |
Treating customers fairly - what good looks like |
| 18 November |
Press release |
FSA bans director Peter King and his firm New Forest Mortgage Company Ltd |
| 17 November |
Final notice |
Mr Roger Edward Muse [PDF] |
| 17 November |
Final notice |
Mr Daniel Edward Muse [PDF] |
| 17 November |
Miscellaneous |
Credit write-backs - An articulation of the FSA's position [PDF] |
| 17 November |
Miscellaneous |
2008 Survey of the Persistency of Life and Pensions policies [PDF] |
| 14 November |
Statement |
FSA Statement on Capital Approach Utilised in UK Bank Recapitalisation Package |
| 13 November |
Speech by Lesley Titcomb |
The challenges facing the mortgage intermediary sector |
| 13 November |
Press release |
Former UK ambassador and Belgian businessman fined for market abuse |
| 13 November |
Statement |
HMT clarifies process for determining access to its Credit Guarantee Scheme and Bank Recapitalisation Fund |
| 12 November |
Final notice |
Richard Ralph [PDF] |
| 12 November |
Final notice |
Filip Boyen [PDF] |
| 12 November |
Press release |
Cheshire and Nationwide Building Societies: merger confirmation hearing |
| 12 November |
Press release |
FSA concludes its review of insurance comparison websites |
| 12 November |
Press release |
FSA statement on the Treating Customers Fairly initiative |
| 12 November |
Miscellaneous |
FSA update on the Treating Customers Fairly initiative and the December deadline [PDF] |
| 11 November |
Statement |
FSA statement on regulated covered bond schemes |
| 11 November |
Press release |
FSA fines AWD Chase de Vere Wealth Management Ltd £1.12 million for mis-selling |
| 10 November |
Speech by Jonathan Phelan |
Fighting the Boiler Room Problem: How the FSA makes a difference |
| 10 November |
Speech by Margaret Cole |
Welcome speech for International Boiler Room Conference |
| 10 November |
Final notice |
New Forest Mortgage Company Limited [PDF] |
| 10 November |
Final notice |
Mr Peter King [PDF] |
| 10 November |
Final notice |
AWD Chase de Vere Wealth Management Limited [PDF] |
| 10 November |
Occasional paper |
An Investigation of the Relationship between Financial Capability and Psychological Well-being in Mothers of Young Children in Poor Areas in England [PDF] |
| 10 November |
Final notice |
Global Mortgage Link Limited [PDF] |
| 10 November |
Press release |
FSA calls for greater international cooperation to tackle boiler room fraud |
| 6 November |
Speech by Sarah Wilson |
Capital, risk and strategy: the regulator's view of life insurance |
| 6 November |
Undertaking |
Abbey Life Assurance Company Limited [PDF] |
| 6 November |
Speech by Jamie Symington |
The FSA and enforcing the market abuse regime |
| 5 November |
Speech by Sarah Wilson |
The future of general insurance: addressing the key issues in insurance regulation |
| 5 November |
Press release |
FSA bans mortgage brokers for advice failings |
| 5 November |
Final notice |
Rukhsana Malik [PDF] |
| 5 November |
Final notice |
Rukhsana Malik, trading as Greenacre [PDF] |
| 4 November |
Final notice |
Accepted 4 Credit Limited [PDF] |
| 4 November |
Final notice |
Xcaveo Limited [PDF] |
| 4 November |
Final notice |
Homeplan Finance UK Limited [PDF] |
| 4 November |
Final notice |
Edward Allen of Homeplan Finance UK Limited [PDF] |
| 4 November |
Final notice |
Ronald Allen Homeplan Finance UK Limited [PDF] |
| 4 November |
Press release |
FSA consults on regulating retail banking conduct of business |
| 4 November |
Consultation paper |
CP08/19: Regulating retail banking conduct of business |
| 4 November |
Policy Statement |
PS08/11: FSCS funding - tariff changes |
| 3 November |
Final notice |
Reginald Wapling trading as Bower Insurance Consultants [PDF] |
| 30 October |
1st Supervisory Notice |
Wilmot Financial Solutions Limited [ PDF ] |
| 30 October |
Newsletter |
Handbook Development (Issue 104) [ PDF ] |
| 30 October |
Newsletter |
Market Watch Issue 29 [PDF] |
| 30 October |
Consultation paper |
CP08/18: Regulatory fees and levies: policy proposals for 2009/10 |
| 30 October |
Handbook publication |
Handbook Notice 82 [PDF] |
| 29 October |
Speech by Sarah Wilson |
TCF and with-profits: the FSA's Perspective |
| 29 October |
Press release |
FSA fines firm and MLRO for money laundering controls failings |
| 29 October |
Final notices |
Sindicatum Holdings Limited [PDF] |
| 29 October |
Final notices |
Michael Wheelhouse [PDF] |
| 28 October |
Speech by Thomas Huertas |
The Supervision of Financial Services: What's Next? |
| 27 October |
Statement |
Former mortgage adviser charged at City of Westminster court |
| 23 October |
Press release |
FSA bans Lancashire broker for failing to insure consumers |
| 23 October |
Final notice |
Ideal Insurance Services Limited [PDF] |
| 23 October |
Final notice |
Mr Neil McKay [PDF] |
| 23 October |
Press release |
FSA publishes contracts for difference feedback statement |
| 23 October |
Consultation paper |
CP08/17: Disclosure of Contracts for Difference: Feedback and policy statement on CP07/20, and further technical consultation |
| 22 October |
Speech by Hector Sants |
The regulator's view of hedge funds and hedge fund standards |
| 22 October |
Press release |
Public Statement on the 30 day review of FSA's short selling measures |
| 20 October |
Press release |
Half-a-million expectant parents across the UK to receive free financial guide from the FSA this year |
| 16 October |
Final notice |
Brian Valentine Taylor [PDF] |
| 16 October |
Final notice |
Stewart McKegg [PDF] |
| 16 October |
Final notice |
Paul Warner [PDF] |
| 16 October |
Statement |
Update on Market Wide Exercise 2008 |
| 16 October |
Press release |
FSA and HMT launch Moneymadeclear campaign to help people stay in control of their money |
| 16 October |
Press release |
FSA fines mortgage broker for advice failings |
| 16 October |
Press release |
Two directors of mortgage firm are fined £60,000 |
| 15 October |
Speech by Sally Dewar |
The challenge for compliance |
| 15 October |
Speech by Hector Sants |
'Regulation & Entrepreneurs' - What is the role of regulation in facilitating the development of innovation & entrepreneurs |
| 14 October |
Final notice |
Orchid Financial Limited [PDF] |
| 14 October |
Final notice |
Abbey Mortgages Limited [PDF] |
| 14 October |
Final notice |
William John Evans [PDF] |
| 14 October |
Final notice |
Gary William Howes [PDF] |
| 14 October |
Final notice |
Lucky Albert trading as Economic Mortgage [PDF] |
| 14 October |
Speech by Hector Sants |
Dialogue on Financial Stability: How is bank risk to be managed? |
| 13 October |
Speech by Adair Turner |
Beyond the Current Turmoil: The Future Shape of Global Finance |
| 13 October |
Statement |
Remuneration policies [PDF] |
| 13 October |
Statement |
Treasury statement on financial support to the banking industry |
| 10 October |
First supervisory notice |
Landsbanki Islands hf [PDF] |
| 9 October |
Final notice |
Delroy Anglin [PDF] |
| 9 October |
Final notice |
Derrick Hales Financial Planning [PDF] |
| 9 October |
Final notice |
Mr Derrick Hales [PDF] |
| 9 October |
Final notice |
Mrs Kathleen Hales [PDF] |
| 9 October |
Final notice |
Knowlden Titlow Financial [PDF] |
| 8 October |
Briefing note |
Joint FSA/EUI announcement: Lehman Brothers International (Europe) in Administration |
| 8 October |
Statement |
FSA update on Lehman Brothers International (Europe) in administration's outstanding settlement transactions |
| 8 October |
Press release |
Derbyshire and Nationwide Building Societies: merger confirmation hearing |
| 8 October |
Statement |
FSA welcomes Government measures to support banking system |
| 8 October |
First supervisory notice |
Kaupthing Singer & Friedlander Limited [PDF] |
| 8 October |
UKLA newsletter |
LIST! Issue No. 19 [PDF] |
| 7 October |
First supervisory notice |
Heritable Bank Public Limited Company [PDF] |
| 7 October |
Press release |
Alliance & Leicester to pay £7 million fine for PPI failings |
| 6 October |
Final notice |
Alliance & Leicester plc [PDF] |
| 6 October |
Final notice |
Edward Johnson [PDF] |
| 6 October |
Consultation paper |
CP08/16: Quarterly consultation no.18 |
| 3 October |
Press release |
Compensation scheme to cover savers’ claims up to £50,000 |
| 3 October |
Consultation paper |
Financial Services Compensation Scheme: Review of limits |
| 3 October |
First supervisory notice |
Platinum Estates and Mortgages Limited [PDF] |
| 2 October |
Press release |
FSA fines York based investment firm £28,000 for advice failings |
| 2 October |
Final notice |
TBO Investments Limited [PDF] |
| 1 October |
First supervisory notice |
Synergys Ethical Limited [PDF] |
| 30 September |
Press release |
FSA update on its review of the sale of PPI |
| 30 September |
Oxera report |
Towards evaluating consumer outcomes in the retail investment products market: A methodology [PDF] |
| 30 September |
Miscellaneous |
Payment Protection Insurance - A thematic update |
| 30 September |
Press release |
FSA censures two directors for poor compliance and sales practices |
| 29 September |
Press release |
FSA expects firms to ensure suitable advice on transfers into SIPPs |
| 29 September |
Speech |
Progress towards the December deadline: some observations |
| 29 September |
Statement |
Bradford & Bingley plc |
| 29 September |
Miscellaneous |
Pure Protection Contracts Product Sales Data (PSD) Trends Report 2008 [PDF] |
| 29 September |
Miscellaneous |
Retail Investments Product Sales Data (PSD) Trends Report 2008 [PDF] |
| 29 September |
Miscellaneous |
Mortgage Product Sales Data (PSD) Trends Report 2008 [PDF] |
| 26 September |
Policy statement |
PS08/10: Client Assets sourcebook (Common platform provisions) Instrument 2008 - Feedback on CP08/6 and made rules |
| 26 September |
Handbook publication |
Handbook Notice 81 [PDF] |
| 26 September |
Handbook publication |
Handbook Development Newsletter - Issue 103 [PDF] |
| 26 September |
Policy statement |
PS08/9: Organisational systems and controls - extending the common platform - Feedback on CP07/23 and final rules |
| 25 September |
Final notice |
Asgar Ali Ravjani (trading as Astrad Finance) [PDF] |
| 25 September |
Final notice |
New Sovereign Insurance Services Limited [PDF] |
| 25 September |
Press release |
Lender fined £1.12 million for exposing borrowers to financial loss |
| 25 September |
Discussion paper |
DP08/04: Insurance risk management: The path to Solvency II |
| 24 September |
Final notice |
Timothy Steven Rushworth [PDF] |
| 23 September |
Press release |
FSA announces appointment of two senior advisors |
| 23 September |
Press release |
Universities call in the FSA Money Doctors as research shows a third of students are constantly overdrawn |
| 23 September |
Final notice |
Asim Hussain [PDF] |
| 22 September |
Final notice |
GE Money Home Lending Limited |
| 22 September |
Consultation paper a joint publication with HMT |
Implementation of the Acquisitions Directive: a consultation document [PDF] |
| 19 September |
Final notice |
Mr Darren Millington [PDF] |
| 19 September |
Final notice |
Mr Michael Worthington [PDF] |
| 19 September |
Final notice |
Ashbourne Tilley (Special Risks) Limited [PDF] |
| 19 September |
Press release |
Insider Dealing: Two charged at City of Westminster Magistrates Court |
| 18 September |
Application refusal |
Money Aspects Limited (“MAL”) [PDF] |
| 18 September |
Press release |
FSA Chairman addresses Lord Mayor's City Banquet |
| 18 September |
Speech |
Mansion House speech |
| 18 September |
Press release |
Callum McCarthy: Comments on short positions in financial stocks |
| 18 September |
Instruments |
Short selling instruments and related material |
| 18 September |
Press release |
FSA statement on short positions in financial stocks |
| 17 September |
Final notice |
Ashbourne Tilley (Special Risks) Limited [PDF] |
| 17 September |
Final notice |
Habib-ur Rehman trading as HABIB Estate & Finance Co. [PDF] |
| 17 September |
Speech by Sheila Nicoll |
Non-Executive Directors: Survival In A Volatile Market |
| 17 September |
Speech by Hector Sants |
Impact of the credit crunch on Asset Managers |
| 16 September |
Undertaking |
UK Insurance Limited [PDF] |
| 16 September |
Newsletter |
Commodity Markets Update - Issue 1 [PDF] |
| 15 September |
FSA Statement |
Lehman Brothers Holding Inc |
| 12 September |
Miscellaneous |
Credit advertising - a guide to dually-regulated advertisements [PDF]
A joint publication by OFT and FSA |
| 11 September |
Final notice |
Tariq Z. J. Tarazi (trading as Michael Tarazi) [PDF] |
| 11 September |
Final notice |
Rubycall Mortgages Limited [PDF] |
| 11 September |
Final notice |
Mrs Shu Koon Ng trading as Frang & Co [PDF] |
| 11 September |
Final notice |
John Garfield Howe trading as Mortgage Force (BS005) [PDF] |
| 11 September |
Corporate document |
International Regulatory Outlook- September 2008 [PDF] |
| 11 September |
Briefing |
Insurance Sector Briefing: Risk and capital management update [PDF] |
| 10 September |
1st supervisory notice |
Jem Insurance Services [PDF] |
| 8 September |
Final notice |
Mortgages and Remortgages.info Limited [PDF] |
| 8 September |
Press release |
Hedge fund manager sanctioned by FSA for market abuse |
| 8 September |
Final notice |
Steven Harrison [PDF] |
| 8 September |
Press release |
FSA censure for Coventry mortgage broker |
| 8 September |
FSA statement |
Building Society Mergers |
| 4 September |
Final notice |
Mr Mohammed Habib (trading as MAH Mortgage and Finance) [PDF] |
| 4 September |
Press release |
FSA fines mortgage firm £63,000 for serious regulatory failures |
| 3 September |
Speech by Philip Robinson |
Financial crime and market stability |
| 2 September |
Final notice |
Mr Robert Edward James [PDF] |
| 2 September |
Final notice |
Mr Paul Drake Adams [PDF] |
| 2 September |
Final notice |
Mr Stuart Malcolm Lawton [PDF] |
| 2 September |
Press release |
The FSA bans three directors for misusing client money |
| 1 September |
Speech by Margaret Cole |
After dinner remarks at Cambridge Symposium on economic crime |
| 28 August |
Press release |
FSA consults on Payment Services Directive Handbook changes |
| 28 August |
Consultation paper |
Implementation of the Payment Services Directive – changes to the FSA Handbook |
| 28 August |
Final notice |
Approved Financial Solutions Limited [PDF] |
| 28 August |
Summary final notice |
Pearl Group [PDF] |
| 27 August |
Final notice |
Ali Baig trading as Ali & Sons Mortgage Management and Estates [PDF] |
| 27 August |
Handbook publication |
Handbook Development (Issue 102) [ PDF ] |
| 21 August |
Final notice |
Leybridge Limited [PDF] |
| 21 August |
Handbook publication |
Handbook Notice 80 [PDF] |
| 21 August |
Press release |
FSA fines five motor dealers for PPI failings |
| 21 August |
Final notice |
Park’s of Hamilton (Holdings) Limited [PDF] |
| 21 August |
Final notice |
Ringways Garages (Leeds) Limited & Ringways Garages (Doncaster) Limited [PDF] |
| 21 August |
Final notice |
George White Motors Limited [PDF] |
| 21 August |
Final notice |
GK Group Limited [PDF] |
| 20 August |
Press release |
FSA bans financial adviser for pension transfers failings |
| 20 August |
Final notice |
Darrell Mark Eaden [PDF] |
| 20 August |
Final notice |
Comline Group Limited [PDF] |
| 20 August |
Dear CEO letter |
Valuation and Product Control [PDF] |
| 19 August |
Press release |
FSA issues alert about investor scam |
| 13 August |
Press release |
FSA puts a stop to illegal UK based share scheme |
| 13 August |
Occasional paper |
A Multiple Period Gaussian Jump to Default Risk Model [ PDF ] |
| 13 August |
Press release |
FSA fines Credit Suisse £5.6m for systems and controls failings |
| 13 August |
Final notice |
Credit Suisse International and Credit Suisse Securities (Europe) Limited (the "UK operations of Credit Suisse") [PDF] |
| 12 August |
Press release |
FSA bans Doncaster mortgage broker for involvement in fraud |
| 12 August |
Final notice |
Lada Trade Centre Limited [PDF] |
| 11 August |
Final notice |
William Hawkins trading as William Hawkins Independent Mortgage Advice [PDF] |
| 11 August |
Final notice |
Orchard House Mortgages Limited [PDF] |
| 11 August |
Final notice |
Ian Stuart James [PDF] |
| 11 August |
Final notice |
Nicola Jane James [PDF] |
| 11 August |
Press release |
FSA bans and fines mortgage broker £100,000 for mortgage fraud |
| 8 August |
Final notice |
Omotayo Fawole [PDF] |
| 8 August |
Final notice |
Oasis Mortgages and Financial Services Limited [PDF] |
| 8 August |
Press release |
Investors to get money back from celebrity-endorsed betting syndicate |
| 7 August |
Press release |
FSA announces change to RDR timetable |
| 7 August |
Report |
Management Information project - Key findings report [PDF] |
| 7 August |
Newsletter |
Credit Union Newsletter - Issue 8 [PDF] |
| 5 August |
Press release |
FSA reiterates call for firms to treat customers fairly in current market conditions |
| 5 August |
Undetaking |
Undertaking: In Retirement Services (Reversions) Ltd [PDF] |
| 4 August |
Final notice |
Rainbow Financial Services [PDF] |
| 4 August |
Final notice |
David Wilson [PDF] |
| 4 August |
Statement |
Equitable Life - Report by the Parliamentary Commissioner for Administration |
| 1 August |
Final notice |
Woodsidecars.com Limited [PDF] |
| 1 August |
Final notice |
Greenfield Financial Management LP [PDF] |
| 1 August |
Final notice |
Gillian Coburn [PDF] |
| 1 August |
Final notice |
Barry Coburn [PDF] |
| 1 August |
First supervisory notice |
Peter Richard Hilder trading as Savings Assured Mortgages [PDF] |
| 1 August |
Press release |
FSA concludes HBOS rumours investigation |
| 31 July |
Press release |
FSA provides preliminary view of Aviva’s proposed reattribution offer |
| 30 July |
Press release |
Liverpool Victoria Banking Services to pay £840,000 fine plus compensation to PPI customers following FSA investigation |
| 30 July |
Newsletter |
Life Insurance Newsletter - Issue 13 [ PDF ] |
| 30 July |
Newsletter |
General Insurance Newsletter - Issue 15 [ PDF ] |
| 29 July |
Final notice |
Liverpool Victoria Banking Services Limited [PDF] |
| 29 July |
Press release |
Arrests made in major FSA insider dealing investigation |
| 28 July |
Press release |
FSA appoints Jon Pain as Managing Director, Retail Markets |
| 28 July |
Press release |
FSA fines Hastings £735,000 for not treating customers fairly |
| 25 July |
Final notice |
Mr Rod Allcock trading as Rod Allcock Insurance Services [ PDF ] |
| 25 July |
Policy statement |
PS08/08: Financial Services Compensation Scheme: EEA branches of UK insurers - feedback on CP08/9 and final rules |
| 25 July |
Handbook publication |
Handbook Development Newsletter (Issue 101) [ PDF ] |
| 25 July |
Handbook publication |
Handbook Notice 79 [PDF] |
| 25 July |
Press release |
FSA to simplify guidance on investment disclosure |
| 25 July |
Policy statement |
PS08/07: Simplifying Disclosure: Information about services and costs |
| 25 July |
Miscellaneous |
A statement regarding terms which use the phrase 'consequential loss' in general insurance contracts [PDF] |
| 25 July |
Final notice |
Mr Rod Allcock trading as Rod Allcock Insurance Services [PDF] |
| 24 July |
First supervisory notice |
Lucky Albert trading as Economic Mortgage [PDF] |
| 24 July |
First supervisory notice |
Delroy Anglin [PDF] |
| 24 July |
Final notice |
Graham John Cole [ PDF ] |
| 24 July |
Final notice |
Allegiance Mortgages Limited [ PDF ] |
| 24 July |
Final notice |
Hastings Insurance Services Limited [ PDF ] |
| 24 July |
Press release |
Insider dealing: Financial Services Authority prosecutes Mr Malcolm Calvert |
| 24 July |
Speech by Hector Sants |
CEO's speech at the FSA Annual Public Meeting |
| 23 July |
Press release |
FSA welcomes Government proposals on credit unions and announces plans to toughen regulatory policy |
| 23 July |
Press release |
FSA fines PMSG Insurance Services Ltd £35,000 and withdraws approval for its compliance officer for mortgage advice breaches |
| 22 July |
Joint supplementary document |
Financial stability and depositor protection: special resolution regime [PDF]
A joint supplementary technical document, with H M Treasury and the Bank of England, explaining in greater detail how we propose the Special Resolution Regime (SRR) for failing banks will work, including draft legislative clauses |
| 21 July |
Press release |
Financial Services Authority to consult on changes to the Disclosure and Transparency Rules |
| 21 July |
Consultation paper |
CP08/13: Disclosure of liquidity support |
| 21 July |
Press release |
FSA grants new waiver to firms on complaints handling |
| 18 July |
Press release |
FSA calls Money Guidance 'summit' |
| 17 July |
Final Notice |
William John Pirie [PDF] |
| 17 July |
Final Notice |
Mandrake Associates Limited [PDF] |
| 16 July |
Newsletter |
Capital Markets Bulletin - Issue 3 [PDF] |
| 16 July |
Press release |
FSA bans mortgage partners for serious regulatory failures |
| 15 July |
1st Supervisory Notice |
New Sovereign Insurance Services Limited [PDF] |
| 15 July |
Final notice |
Tarlochan Singh (trading as Oceans Mortgages) [PDF] |
| 15 July |
Final notice |
Rainbow Insurance Services Limited [PDF] |
| 15 July |
Final notice |
Regency Property Solutions Limited [PDF] |
| 15 July |
Final notice |
Sean Hamilton trading as Hamilton Cars [PDF] |
| 15 July |
Final notice |
GMC Motors Limited [PDF] |
| 15 July |
Final notice |
EMC2 Logical Finance Limited [PDF] |
| 15 July |
Final notice |
Allclear Finance Limited [PDF] |
| 15 July |
Final notice |
Khalack Mohamad Loothfaully trading as KML Mortgage Investment Co. [PDF] |
| 15 July |
Press release |
FSA fines a mortgage firm £11,900 and bans adviser in relation to false mortgage applications |
| 14 July |
Miscellaneous |
Joint FSA and HMT response to the European Commission's public consultation paper on changes to the decisions establishing CEBS, CEIOPS and CESR |
| 14 July |
Handbook publication |
Handbook Release 79 |
| 14 July |
Consumer research |
Financial Capability: A Behavioural Economics Perspective [PDF] |
| 14 July |
Consumer research |
Evidence of impact: An overview of financial education evaluations [PDF] |
| 10 July |
Final notice |
PMSG Insurance Services Limited [PDF] |
| 10 July |
Press release |
Former broker banned and fined £16,000 for dishonesty and using high pressure sales tactics |
| 9 July |
Final notice |
Simon Poole [PDF] |
| 9 July |
Consultation paper |
Quarterly consultation (No. 17) |
| 9 July |
Miscellaneous |
Benefits of Regulation: Effect of Charges Table and Reduction in Yield [PDF] |
| 9 July |
Press release |
FSA bans and fines mortgage broker for serious regulatory failures |
| 8 July |
Final notice |
Baljit Somal [PDF] |
| 8 July |
Undertaking |
Homecare Insurance Limited [PDF] |
| 8 July |
Press release |
Companies urged to help protect shareholders from 'boiler room' scams |
| 8 July |
Leaflet |
Warning to shareholders - boiler room scams [PDF] |
| 7 July |
Press release |
New help for people managing money worries |
| 7 July |
Press release |
FSA bans and fines mortgage broker £129,000 for involvement in mortgage fraud |
| 4 July |
Final notice |
Sadia Nasir [PDF] |
| 3 July |
Final notice |
Robin David Knox [PDF] |
| 3 July |
Final notice |
Mortgage and Property Services Limited [PDF] |
| 3 July |
Final notice |
Lawrence Morton & Company [PDF] |
| 2 July |
Press release |
Contracts for Difference Policy Update |
| 2 July |
Policy update |
Policy Update on Disclosure of Contracts for Difference (CfDs) [PDF] |
| 1 July |
Press release |
FSA fines IT professional £85,000 for market abuse |
| 1 July |
Final notice |
Mr John Shevlin [PDF] |
| 1 July |
Joint Consultation |
Financial stability and depositor protection: further consultation [PDF]
A joint consultation document by HM Treasury, the Bank of England and the FSA, which sets out updated proposals for reforms to strengthen the framework for financial stability and depositor protection |
| 1 July |
Consumer research |
Consumer awareness of the FSA and financial regulation [PDF] |
| 30 June |
Press release |
FSA publishes Annual Report for 2007/08 |
| 30 June |
Corporate publication |
Annual Report 2007/08 |
| 30 June |
Press release |
Firms urged to intensify efforts to meet December deadline to consistently treat customers fairly |
| 30 June |
Miscellaneous |
Treating customers fairly: Progress update [PDF] |
| 27 June |
Handbook publication |
Handbook Development Newsletter (Issue 100) [ PDF ] |
| 27 June |
Handbook publication |
Handbook Notice 78 [PDF] |
| 27 June |
Policy Statement |
PS08/06: Implementation of the 8th Company Law Directive Feedback on CP07/24 and final rules |
| 26 June |
Final notice |
Karen Bone trading as Karnel Management [PDF] |
| 26 June |
Speech by Thomas Huertas |
Hybrid Capital |
| 26 June |
Press release |
FSA bankrupts 'boiler room' accomplice |
| 24 June |
First supervisory notice |
Mr John Garfield Howe trading as Mortgage Force (BS005) [PDF] |
| 23 June |
Final notice |
Zaccheus Adebisi Daramola (trading as Zacch Associates Accountancy Service) [PDF] |
| 23 June |
Final notice |
The Wealth Partnership Limited [PDF] |
| 23 June |
Final notice |
Brad Fisher (trading as The Money Superstore) [PDF] |
| 23 June |
Final notice |
Silkwell Agencies Limited [PDF] |
| 23 June |
Final notice |
Neil Douglas Penketh (trading as Newton Mortgages) [PDF] |
| 23 June |
Final notice |
Michael Stephen Marks (trading as Michael Marks) [PDF] |
| 23 June |
Press release |
FSA launches payment protection insurance comparison tables |
| 20 June |
Approved person refusal |
John David Bell [PDF] |
| 20 June |
Speech by Thomas Huertas |
Competition in Banking: The Role of Orderly Entry and Orderly Exit |
| 20 June |
Miscellaneous |
Updated: Short Selling Instrument 2008 - Frequently Asked Questions [PDF] |
| 19 June |
Miscellaneous |
Updated: Short Selling Instrument 2008 - issuers in a rights issue period [PDF] |
| 19 June |
Final notice |
P&S Motors Limited [PDF] |
| 19 June |
Newsletter |
Market Watch Issue 28 [PDF] |
| 18 June |
Final notice |
Mvm Motors Limited (In Liquidation) [PDF] |
| 18 June |
Speech by Margaret Cole |
How Enforcement makes a difference |
| 17 June |
Form |
Short Selling Instrument 2008 - TR3 disclosure form [DOC] |
| 17 June |
Press release |
Stockbroking firm fined £77,000 for weak data security controls |
| 17 June |
Feedback statement |
FS08/4: Review of the interaction of our solo and group capital requirements - Feedback on DP07/5 |
| 13 June |
Final notice |
Merchant Securities Group Ltd [PDF] |
| 13 June |
Final notice |
Mr Mohammed Atif Mayo [PDF] |
| 13 June |
Final notice |
Mr Muhammad Asim Iqbal [PDF] |
| 13 June |
Final notice |
OCS Property and Financial Services Limited [PDF] |
| 13 June |
Final notice |
Mr Muhammad Adnan Ashraf [PDF] |
| 13 June |
Press release |
Financial Services Authority introduces disclosure regime for significant short positions in companies undertaking rights issues |
| 12 June |
Handbook publication |
Handbook Release 78 |
| 12 June |
Press release |
Woolworths fined £350,000 for Disclosure Rule and Listing Principle breaches |
| 11 June |
Final notice |
Woolworths Group plc [PDF] |
| 10 June |
Speech |
Solvency 2: Key messages for getting the detail right |
| 10 June |
Speech |
Regulating financial services in the UK |
| 10 June |
Press release |
FSA fines Chepstow mortgage broker for failures relating to self certification mortgages |
| 6 June |
Final notice |
Integral Mortgage Consultants Limited [PDF] |
| 6 June |
UKLA update |
UKLA update [PDF] |
| 5 June |
Final notice |
Andrew Jeffreys trading as Chepstow Financial Services [PDF] |
| 5 June |
Press Release |
Update on the thematic review of controls over inside information |
| 5 June |
Newsletter |
Market Watch Issue 27 [PDF] |
| 5 June |
FSA paper |
Fairness of terms in consumer contracts: a visible factor in firms treating their customers fairly [PDF] |
| 5 June |
Consumer research paper |
Fairness of terms in consumer contracts Firms' awareness of and compliance with the Unfair Terms in Consumer Contracts Regulations 1999 [PDF] |
| 4 June |
Press release |
Three senior advisors from industry join FSA |
| 4 June |
Press release |
FSA seeks to close down UK's largest illegal 'landbanking' scheme |
| 3 June |
First Supervisory Notice |
Comline Group Limited [PDF] |
| 3 June |
Press release |
FSA consults on change to with-profits rules |
| 3 June |
Consultation paper |
CP08/11: With-profits funds - compensation and redress |
| 3 June |
Miscellaneous |
Feedback on tripartite consultation document: operation of the Financial Services Compensation Scheme (FSCS) for deposit protection [PDF] |
| 3 June |
Press release |
FSA launches 'can do' money website inspired by young adults for young adults |
| 2 June |
Press release |
FSA publishes final regulatory fees and levies for 2008/09 |
| 30 May |
Final notice |
Corporate Insurance Management Limited [PDF] |
| 30 May |
Final notice |
City Mortgage and Financial Limited [PDF] |
| 30 May |
Policy statement |
PS08/5: Consolidated Policy Statement on our feeraising arrangements and regulatory fees and levies 2008/09 - Including feedback on CP07/19, CP08/2, CP08/7 and 'made rules' |
| 30 May |
Press release |
Financial Services Compensation Scheme Board appointments |
| 29 May |
Final notice |
Huw Morris trading as Cwrt Garage [PDF] |
| 29 May |
Press release |
New FSA travel insurance regulation will protect consumers |
| 29 May |
Policy Statement |
Regulating connected travel insurance - Feedback on CP07/22 and final rules |
| 28 May |
Final notice |
Trekfree Associates Limited [PDF] |
| 28 May |
Final notice |
Erinma Didi Jordan [PDF] |
| 27 May |
Press release |
FSA publishes industry feedback on liquidity requirements |
| 27 May |
Feedback statement |
Review of the liquidity requirements for banks and buildings societies - Feedback on DP07/7 |
| 27 May |
Press release |
FSA launches debate on increasing transparency in regulation |
| 27 May |
Discussion paper |
DP08/3: Transparency as a Regulatory Tool |
| 27 May |
Consultation paper |
CP08/10: Decision Procedure and Penalties manual and Enforcement Guide Review 2008 |
| 27 May |
Miscellaneous |
Building society statistics for 2007 |
| 23 May |
Press release |
New Financial Services Consumer Panel Chairman appointed |
| 23 May |
Final notice |
Rafiu Adisa Akanbi, trading as Rafin Adisa Akanbi [PDF] |
| 23 May |
Final notice |
Rafiu Adisa Akanbi [PDF] |
| 23 May |
Handbook publication |
Handbook Notice No.77 [PDF] |
| 23 May |
Handbook publication |
Handbook Development Newsletter - Issue 99 [PDF] |
| 22 May |
Final notice |
Gerard McStravick, trading as Fast Track Mortgage and Finance Consultants [PDF] |
| 22 May |
Press release |
FSA fines three mortgage brokers for poor mortgage sales procedures |
| 22 May |
Press release |
Mortgage broker censured for financial promotions and sales-related failings |
| 21 May |
Final notice |
Byron Brown [PDF] |
| 21 May |
Final notice |
The Millbank Consultancy Ltd [PDF] |
| 21 May |
Final notice |
Millbank Mortgages Limited [PDF] |
| 21 May |
Application refusal |
KPI Financial Services Limited ("KPI") [PDF] |
| 21 May |
Final notice |
Mortgageland Limited [PDF] |
| 21 May |
Final notice |
KPI Financial Services Limited [PDF] |
| 21 May |
Final notice |
Mr Mohammad Rana (registered as Countrywide Management Consultancy and trading as Property Compass) [PDF] |
| 21 May |
Press release |
FSA fines insurance firm £640,000 for call centre failings |
| 20 May |
Speech by Hector Sants |
Recent market events and the FSA's response |
| 20 May |
Miscellaneous document |
Delivering better regulatory outcomes - May 2008 update [PDF]
A joint FSA and OFT Action Plan |
| 19 May |
Final notice |
UNAT DIRECT Insurance Management Limited (UNAT) [PDF] |
| 19 May |
Newsletter |
Credit Union Newsletter - Issue 7 [PDF] |
| 15 May |
First Supervisory Notice |
Lada Trade Centre Limited [PDF] |
| 16 May |
Newsletter |
Financial Crime Newsletter - Issue 11 [PDF] |
| 15 May |
Speech by Jonathan Fischel |
A regulator's view of the current mortgage market |
| 15 May |
Speech by Sarah Wilson |
Future of life assurance: Managing risks |
| 15 May |
Speech by Hector Sants |
Principles-Based Regulation - Lessons from the Sub-Prime Crisis |
| 15 May |
Press release |
FSA fines Thinc Group £900,000 for sub-prime record keeping failings |
| 15 May |
Final notice |
Mr Peter Scott, trading as The Mortgage House [PDF] |
| 15 May |
Final notice |
Thinc Group Limited [PDF] |
| 15 May |
Statement |
Q & A update on PDS Business Finance / Christian Orpin |
| 14 May |
Undertaking |
UK Underwriting Limited [PDF] |
| 13 May |
Final notice |
Bertie Charles Hatcher [PDF] |
| 13 May |
First supervisory notice |
Woodsidecars.com Limited [PDF] |
| 13 May |
Speech by Callum McCarthy |
Lessons from the financial crisis |
| 12 May |
Final notice |
Fresh Start Car Credit Limited [PDF] |
| 12 May |
Press release |
FSA fines Land of Leather and its Chief Executive for PPI failings |
| 9 May |
Final notice |
Land of Leather Limited [PDF] |
| 9 May |
Final notice |
Paul Simon Briant [PDF] |
| 9 May |
Final notice |
Sylvester Emanuel Williams trading as Latitude Finance and Consultancy Services [PDF] |
| 9 May |
Statement |
FSA seeks permission to appeal Tribunal's decision on Salman Khan |
| 9 May |
Final notice |
Berkley Finance Limited [PDF] |
| 8 May |
Press release |
FSA calls for all insurance comparison websites to provide consumers with clear, fair and not misleading information |
| 7 May |
Final notice |
Brooklands Financial Services Limited [PDF] |
| 7 May |
Press release |
Hector Sants speaks at the Building Societies Association Annual Conference |
| 7 May |
Speech by Dan Waters |
The Future of Distribution Seminar - The Retail Distribution Review |
| 7 May |
Speech by Hector Sants |
The future of financial regulation |
| 6 May |
Speech by Andrew Sykes |
Key Features Documents Seminar |
| 6 May |
Consultation paper |
CP08/9: Financial Services Compensation Scheme: EEA branches of UK insurers |
| 2 May |
Final notice |
Mr Isah Attayi Mohammed [PDF] |
| 1 May |
Speech by Amanda Bowe |
The Retail Distribution Review Interim Report |
| 1 May |
Undertaking |
Undertaking: Devitt Insurance Services Limited [PDF] |
| 30 April |
1st Supervisory notice |
Allegiance Mortgages Limited [PDF] |
| 29 April |
Press release |
FSA publishes Market Watch 26 |
| 29 April |
Newsletter |
Market Watch Issue 26 [PDF] |
| 29 April |
Press release |
FSA publishes an RDR Interim Report and feedback on the review of personal investment firms’ prudential requirements |
| 29 April |
Interim Report |
Retail Distribution Review - Interim Report [PDF] |
| 29 April |
Feedback statement |
FS08/2: Review of the Prudential Rules for Personal Investment Firms - Feedback on DP07/4 |
| 29 April |
Report |
Firm-level predictors of consumer loss through poor financial advice [PDF]
Independent research for the FSA by Europe Economics
|
| 29 April |
Report |
A market study of professional indemnity insurance for personal investment firms [PDF]
Independent research for the FSA by Frontier Economics Limited
|
| 28 April |
Final notice |
TOAOTR Limited [PDF] |
| 25 April |
Final notice |
Simon Cohen trading as The Travel Insurance Agency [PDF] |
| 25 April |
Handbook publication |
Handbook Notice No.76 [PDF] |
| 25 April |
Handbook publication |
Handbook Development Newsletter - Issue 98 [PDF] |
| 24 April |
Press release |
Do more to protect customers' personal details, warns FSA |
| 24 April |
Speech by Hector Sants |
Introductory address to the Financial Crime Conference |
| 24 April |
Report |
Data Security in Financial Services: firms' controls to prevent data loss by their employees and third-party suppliers |
| 23 April |
Press release |
Naguib Kheraj to advise FSA |
| 22 April |
Discussion paper |
Enhancing group supervision under Solvency II [PDF]
A joint discussion paper by HM Treasury and the FSA
|
| 21 April |
Final notice |
Martin Onoabhagbe [PDF] |
| 21 April |
Speech by Thomas Huertas |
Securitisation and the Originate and Distribute Model: Does it have a future? |
| 21 April |
Final notice |
Mr John Paul Keay [PDF] |
| 21 April |
Final notice |
Mr John Paul Keay [PDF] |
| 17 April |
Consultation paper |
FSCS funding - tariff changes |
| 17 April |
Final notice |
Change of control application for Resolution plc [PDF] |
| 17 April |
Newsletter |
Capital Markets Bulletin - Issue 2 [PDF] |
| 16 April |
Final notice |
Five Head Service Station Limited [PDF] |
| 15 April |
Speech by Sarah Wilson |
Treating customers fairly in wholesale markets |
| 15 April |
Final notice |
First Buy Mortgage Services Ltd [PDF] |
| 15 April |
Miscellaneous |
Report of the Financial Stability Forum on Enhancing Market and Institutional Resilience |
| 15 April |
Final notice |
Chariot Mortgage Services Limited [PDF] |
| 11 April |
Senior Supervisor Group Joint Press Release |
Leading-Practice Disclosures for Selected Exposures |
| 10 April |
First Supervisory Notice |
Ideal Insurance Services Limited [PDF] |
| 10 April |
Miscellaneous |
Leading-Practice Disclosures for Selected Exposures |
| 10 April |
Final notice |
Adonai Consultants International Limited [PDF] |
| 10 April |
Final notice |
Safe In-Sure Insurance Consultants [PDF] |
| 10 April |
Final notice |
Grosvenor Financial Services Limited (In Administration) [PDF] |
| 10 April |
FSA statement |
FSA seeks permission to appeal Tribunal's decision on Fox Hayes |
| 9 April |
Speech by Dan Waters |
Hedge Funds and Private Equity |
| 9 April |
Press release |
Third party administrator fined £525,000 for customer document failings |
| 8 April |
Speech by Hector Sants |
International Developments in Insurance Regulation |
| 8 April |
Speech by Callum McCarthy |
Insurance in a wider financial context |
| 8 April |
Final notice |
Liberata Financial Services Limited [PDF] |
| 7 April |
Miscellaneous |
Major retail thematic work plan for 2008/2009 [PDF] |
| 4 April |
Speech by Margaret Cole |
Enforcing Financial Services Regulation: The UK FSA Perspective |
| 4 April |
Corporate document |
International Regulatory Outlook - April 2008 [PDF] |
| 4 April |
Consultation paper |
Quarterly consultation (No. 16) |
| 2 April |
Press release |
FSA fines stockbroker £122,500 for poor sales practices |
| 1 April |
Occasional paper |
The UK Listing Rules and Firm Valuation [PDF] |
| 31 March |
Final notice |
Mansion House Securities Limited [PDF] |
| 31 March |
Consultation paper |
CP08/6: Review of the Client Assets sourcebook (CASS) |
| 31 March |
Report |
The emissions trading market: risks and challenges [PDF] |
| 31 March |
Press release |
Mortgage review findings will help shape future of FSA regime |
| 31 March |
Report |
Mortgage effectiveness review Stage 2 Report [PDF] |
| 31 March |
Report |
Mortgage effectiveness review: sub-prime and lifetime findings [PDF] |
| 31 March |
Press release |
FSA confirms principles-based approach to platforms |
| 31 March |
Feedback statement |
FS08/1: Platforms and more principles-based regulation - Feedback on DP07/2 |
| 31 March |
Policy statement |
PS08/3: Dispute Resolution: the Complaints sourcebook - Further simplification, minor changes and extending the voluntary jurisdiction |
| 27 March |
Handbook publication |
Handbook Notice 75 [PDF] |
| 27 March |
Handbook publication |
Handbook Development (Issue 97) [ PDF ] |
| 27 March |
Final notice |
A1 Moto Services [PDF] |
| 26 March |
Press release |
FSA moves to enhance supervision in wake of Northern Rock |
| 26 March |
Miscellaneous |
The FSA's internal audit review of its supervision of Northern Rock, and the FSA management response |
| 25 March |
Newsletter |
Mortgage Advisers Newsletter - Issue 10 [PDF] |
| 20 March |
First supervisory notice |
P&S Motors Limited [PDF] |
| 20 March |
Press release |
FSA publishes discussion paper on information transparency in the commercial insurance market |
| 20 March |
Discussion Paper |
DP08/02: Transparency, disclosure and conflicts of interest in the commercial insurance market |
| 19 March |
Press release |
FSA warns on market abuse |
| 19 March |
Final notice |
Blake Independent Financial Services Limited [PDF] |
| 19 March |
First supervisory notice |
Corporate Insurance Management Limited [PDF] |
| 19 March |
Press release |
FSA fines firm for inadequate capital and for providing misleading information |
| 19 March |
Press release |
Management changes at the FSA |
| 18 March |
Final notice |
Direct 4 Cars Limited (In Administration) [PDF] |
| 17 March |
UKLA Publication |
List! - Issue No.18 [PDF] |
| 14 March |
Press release |
FSA suspends registration of Ethnic Mutual Ltd |
| 14 March |
Miscellaneous |
Review of firms’ implementation of a risk-based approach to anti-money laundering (AML) [PDF] |
| 13 March |
Second Supervisory Notice |
Mortgage and Property Services Limited [PDF] |
| 12 March |
First Supervisory Notice |
Trekfree Associates Limited [PDF] |
| 11 March |
First Supervisory Notice |
Rafiu Adisa Akanbi, trading as Rafin Adisa Akanbi [PDF] |
| 11 March |
Final notice |
First Start Limited [PDF] |
| 11 March |
Newsletter |
Market Watch Issue 25 [PDF] |
| 11 March |
Press release |
FSA publishes commentary on systems and controls, in light of the Société Générale 'rogue trader' |
| 10 March |
Final notice |
Stephen Ernest Longdon [PDF] |
| 10 March |
Final notice |
Jeffrey Douglas Davis Trading as First Call Mortgage [PDF] |
| 10 March |
Press release |
FSA appoints two new Directors |
| 7 March |
Final notice |
Paula Dove (trading as Southside Mortgage Centre) [PDF] |
| 6 March |
Final notice |
Malcolm Colin Graham (trading as M G Associates Financial Planning) [PDF] |
| 6 March |
Final notice |
The Mortgage People [PDF] |
| 6 March |
Final notice |
Raja Shahid Mahmood (trading as Aroza Property Services) [PDF] |
| 6 March |
Press release |
FSA helps investors get £1million back from boiler rooms |
| 6 March |
Press release |
FSA launches consultation on the sponsor regime |
| 6 March |
Consultation paper |
CP08/5: Sponsor regime - a targeted review |
| 6 March |
Policy statement |
PS08/2: Regulated Covered Bonds |
| 6 March |
Miscellaneous |
Observations on Risk Management Practices during the Recent Market Turbulence |
| 5 March |
Final notice |
Andrew Talai Kiplimo [PDF] |
| 5 March |
Speech by Philip Robinson |
The next proposition in tackling financial crime? |
| 5 March |
Speech by Lesley Titcomb |
Supervision of small firms |
| 4 March |
Press release |
FSA campaign to help homeowners worried about meeting their mortgage repayments |
| 3 March |
Speech by Callum McCarthy |
Institute of International Bankers' Annual Conference |
| 3 March |
Statement |
HM Treasury warns of higher risk of money laundering and terrorist financing |
| 3 March |
Press release |
FSA publishes new rules on telephone recording |
| 3 March |
Policy statement |
PS08/1: Telephone Recording: recording of voice conversations and electronic communications |
| 3 March |
Press release |
FSA to lead 'pathfinder project' delivering a national money guidance service |
| 29 February |
Speech by Dan Waters |
Key regulatory challenges for platforms |
| 29 February |
Handbook publication |
Handbook Notice 73 [PDF] |
| 27 February |
Final notice |
Rotton Park/Winson Green Credit Union Limited [PDF] |
| 27 February |
Speech by Clive Briault |
The FSA's retail strategy |
| 27 February |
Press release |
Hector Sants underlines commitment to risk-based regulation |
| 27 February |
Speech by Hector Sants |
Judgements on judgements - Retail firms and principles-based regulation |
| 26 February |
Press release |
FSA appoints Alexander Justham as Director of Markets |
| 26 February |
Newsletter |
UKLA Factsheet - Issue No.4 (updated) [PDF] |
| 22 February |
Final notice |
D S Insurance Services Limited [PDF] |
| 22 February |
Final notice |
Bimmy Olarinko trading as BIM Financial Consultancy [PDF] |
| 22 February |
Final notice |
Mitchell & Company Limited [PDF] |
| 22 February |
Press release |
Further progress on access for retail customers to alternative investments |
| 22 February |
Consultation paper |
CP08/4: Funds of Alternative Investment Funds (FAIFs) - Feedback on CP07/6 and further consultation |
| 20 February |
Final notice |
Aidan Mortgage Consultants Limited [PDF] |
| 20 February |
Final notice |
Mr Tahir Mahmood [PDF] |
| 20 February |
Final notice |
Mr Amjad Ali Malik [PDF] |
| 19 February |
Newsletter |
Financial Advisers Newsletter - Issue 12 [PDF] |
| 19 February |
Press release |
FSA proposes further simplification of investment advice disclosure |
| 19 February |
Consultation paper |
CP08/3: Simplifying Disclosure: Information about services and costs |
| 19 February |
Consumer research |
Services and costs disclosure - Stage 3: Qualitative research – mock sales testing [PDF] |
| 19 February |
Consumer research |
Services and costs disclosure - Stage 2: Qualitative research with potential and recent purchasers of financial products [PDF] |
| 19 February |
Consumer research |
Services and costs disclosure - Stage 1: Qualitative research with potential and recent purchasers of financial products [PDF] |
| 19 February |
Consumer research |
Depolarisation Disclosure [PDF] |
| 17 February |
Statement |
Chancellor's statement on Northern Rock |
| 15 February |
Research |
Parent's guide to money [PDF] |
| 14 February |
Final notice |
Wessex Finance Limited [PDF] |
| 13 February |
Final notice |
Russell Terry (trading as Harlequin Motor Company) [PDF] |
| 13 February |
Speech by Callum McCarthy |
Regulation in different industries |
| 13 February |
Speech by Philip Robinson |
Working together to tackle mortgage fraud |
| 13 February |
Press release |
'Fake' Stockbroker sentenced to 15 months |
| 12 February |
Speech by Sarah Wilson |
Treating Customers Fairly - a continuing priority |
| 11 February |
Handbook publication |
Handbook Release 74 |
| 10 February |
Press release |
FSA bans broker and fines him £21,000 for dishonesty and misleading customers |
| 8 February |
Final notice |
Litaid Limited [PDF] |
| 8 February |
Newsletter |
Credit Union Newsletter - Issue 6 [PDF] |
| 6 February |
Press release |
Financial Services Authority publishes its 2008/9 Business Plan |
| 6 February |
Corporate document |
Business Plan 2008/09 |
| 6 February |
Consultation paper |
CP08/2: Regulatory fees and levies - Rates proposals 2008/09 and feedback on CP07/19 |
| 31 January |
Final notice |
LA Mortgage Services Limited [PDF] |
| 31 January |
Final notice |
Norman McIntosh [PDF] |
| 31 January |
Newsletter |
General Insurance Newsletter - Issue 14 [ PDF ] |
| 31 January |
Newsletter |
Life Insurance Newsletter - Issue 12 [ PDF ] |
| 30 January |
Speech by Clive Briault |
Regulatory developments and the challenges ahead |
| 30 January |
Joint consultation paper |
Financial stability and depositor protection: strengthening the framework [PDF]
A joint consultation document by HM Treasury, the Bank of England and the FSA |
| 30 January |
First Supervisory Notice |
The Millbank Consultancy Limited [PDF] |
| 30 January |
First Supervisory Notice |
Millbank Mortgages Limited [PDF] |
| 30 January |
Application refusal |
Quick Mortgage Solutions Limited [PDF] |
| 30 January |
Final notice |
Jonathan Leigh Hardie [PDF] |
| 30 January |
Newsletter |
Financial Crime Newsletter - Issue 10 [PDF] |
| 29 January |
Final notice |
Michael Reilly, trading as Abercorn Financial Services [PDF] |
| 29 January |
Press release |
FSA publishes its 2008 Financial Risk Outlook |
| 29 January |
Corporate document |
Financial Risk Outlook 2008 |
| 29 January |
Handbook publication |
Handbook Release 73 |
| 30 January |
Speech by Callum McCarthy |
Address to the Basel Comittee on Banking Supervision Industry Outreach Meeting |
| 26 January |
Statement |
FSA statement: FSA makes initial response to TSC report |
| 25 January |
Handbook publication |
Handbook Notice 72 [PDF] |
| 24 January |
Handbook publication |
Handbook Development Newsletter (Issue 95) [ PDF ] |
| 24 January |
Speech by Dan Waters |
Current regulatory challenges: an update from the FSA |
| 24 January |
Report |
Use of dealing commission - results of thematic review [PDF] |
| 22 January |
Final notice |
Graham Kershberg (trading as Kershberg & Company) [PDF] |
| 22 January |
Final notice |
Roderick Iven Cameron Chapman (trading as Vale Investment Services) [PDF] |
| 22 January |
Final notice |
Changes Made Ltd [PDF] |
| 22 January |
Final notice |
Ponnudurai Sivasubramanian trading as Avis Associates [PDF] |
| 22 January |
Press release |
FSA's enhanced strategy for small firms begins |
| 22 January |
Press release |
Insider Dealing: Two appear at City of London Magistrates' Court |
| 21 January |
Press release |
Northern Rock |
| 18 January |
EU Publication |
FSA response to the European Commission’s call for evidence on the need for a coherent approach to product transparency and distribution requirements for ‘substitute’ retail investment products [PDF] |
| 18 January |
EU Publication |
FSA and HM Treasury summary submission to the Commission’s call for evidence on substitute products [PDF] |
| 17 January |
Final notice |
Lillian Rufus (trading as Unique Mortgage Solutions) [PDF] |
| 16 January |
Final notice |
David Gutteridge [PDF] |
| 16 January |
Final notice |
HFC Bank Limited [PDF] |
| 16 January |
Press release |
FSA fines HFC Bank £1.085 million for PPI failings |
| 15 January |
2nd Supervisory Notice |
Aidan Mortgage Consultants Limited [PDF] |
| 15 January |
Final notice |
Solicitors Services Limited [PDF] |
| 14 January |
Final notice |
Qamar Hussain (trading as Radiant Technological Services) [PDF] |
| 14 January |
Speech by Sally Dewar |
Developments in the Market Division |
| 14 January |
Speech by Hector Sants |
Keynote Address - FSA Listing Conference |
| 14 January |
Press release |
FSA publishes a review of the structure of the Listing Regime |
| 10 January |
Discussion paper |
DP08/1: A review of the Structure of the Listing Regime |
| 14 January |
Press release |
FSA fines stockbroker £250,000 for using high pressure sales tactics |
| 10 January |
Final notice |
Square Mile Securities Limited [PDF] |
| 10 January |
Miscellaneous |
Treating Customers Fairly and UK Authorised Collective Investment Scheme Managers [PDF] |
| 10 January |
Press release |
FSA appoints Sally Dewar as Managing Director, Wholesale |
| 9 January |
Speech by Dan Waters |
MiFID - Threats and Opportunities |
| 4 January |
Consultation paper |
Quarterly consultation (No. 15) |
| 3 January |
Final notice |
William Anthony Clough [PDF] |
