| Date |
Type |
Subject |
| 22 December |
Handbook publication |
Handbook Development Newsletter (Issue 118) |
| 18 December |
First Supervisory notice |
Jim Fanning trading as James Fanning Financial Services [PDF] |
| 18 December |
Final notice |
James Ian Shanks [PDF] |
| 18 December |
Final notice |
Case Funding Centre [PDF] |
| 17 December |
Dear CEO letter |
Our approach to significant influence functions in relation to Recognised Bodies [PDF] |
| 17 December |
Press release |
Director fined £75,000 and banned from the industry for lying to FSA |
| 17 December |
Press release |
Toronto Dominion fined £7m for repeated failings |
| 16 December |
Final notice |
Simon John Graham Kuun [PDF] |
| 16 December |
Final notice |
MFP Group plc [PDF] |
| 16 December |
Press release |
FSA bans partner for failing to manage affairs of her mortgage firm properly |
| 16 December |
Miscellaneous |
Reforming OTC Derivatives markets [PDF] |
| 16 December |
Press release |
FSA consults on raising professional standards for all investment advisers |
| 16 December |
Consultation paper |
CP09/31: Delivering the Retail Distribution Review |
| 15 December |
Final notice |
Toronto Dominion Bank (London Branch) [PDF] |
| 15 December |
Final notice |
Nighat Mirza [PDF] |
| 11 December |
Press release |
FSA appoints a new senior advisor |
| 11 December |
Press release |
FSA strengthens stress testing regime |
| 11 December |
Consultation paper |
CP09/30: Capital planning buffers |
| 11 December |
Policy statement |
PS09/20: Stress and Scenario Testing - feedback on CP08/24 and final rules |
| 11 December |
Handbook notice |
Handbook Notice 95 [PDF] |
| 10 December |
Miscellaneous |
Letter to ABI re cashless reinsurance and analogous arrangements [PDF] |
| 10 December |
Press release |
Corporate broker intern and his father receive 12 and 24 month prison sentences respectively for insider dealing |
| 10 December |
Press release |
FSA consults on strengthening firms' capital standards |
| 10 December |
Consultation paper |
CP09/29: Strengthening Capital Standards 3 |
| 9 December |
Corporate |
Memorandum of Understanding between the Office of Fair Trading and the Financial Services Authority [PDF] |
| 9 December |
Miscellaneous |
Delivering better regulatory outcomes – December 2009 final update[PDF]
A joint FSA and OFT Action Plan |
| 8 December |
Application refusal |
Sabz Ali Khan [PDF] |
| 8 December |
Final notice |
Shani Merali [PDF] |
| 8 December |
Press release |
FSA publishes feedback statement on remuneration |
| 8 December |
Feedback statement |
FS09/5: Reforming Remuneration Practices in Financial Services Feedback on Chapter 6 of CP09/10 |
| 7 December |
Newsletter |
Mortgage lenders’ Round-up - Issue 2 [PDF] |
| 7 December |
Press release |
New Chairman of the Practitioner Panel appointed |
| 7 December |
Miscellaneous |
Analysis of activity in the energy markets 2009 [PDF] |
| 7 December |
Press release |
FSA bans broker for high pressure sales techniques and widespread systems and controls failings |
| 2 December |
Press release |
Insurance broker brothers banned for concealing criminal record from FSA |
| 1 December |
Press release |
FSA bans Northern Ireland mortgage broker for failing to treat customers fairly |
| 30 November |
Speech by Adair Turner |
Responding to the financial crisis: challenging past assumptions |
| 30 November |
Press release |
FSA bans Essex mortgage broker for advice failings and not having appropriate systems and controls in place |
| 27 November |
Final notice |
Noel Heaney trading as Heaney Finance [PDF] |
| 26 November |
Press release |
FSA appoints senior advisors on governance and authorisation |
| 26 November |
Statement |
FSA statement re: Walker Review |
| 25 November |
Statement |
FSA statement following the Supreme Court ruling on bank charges |
| 24 November |
Final notice |
Aaron Nickols trading as Warwick Finance [PDF] |
| 24 November |
Press release |
FSA fines Nomura £1.75 million for inadequate systems and controls |
| 23 November |
Final notice |
Antoinette Davis trading as Ability Mortgage Solutions [PDF] |
| 23 November |
Press release |
Macro prudential tools vital to future financial stability |
| 23 November |
Speech by Adair Turner |
Speech to the CBI Annual Conference |
| 20 November |
Statement |
Update on CP09/23: The assessment and redress of payment protection insurance complaints |
| 20 November |
Miscellaneous |
Letter to ABI re Lloyds Banking Group capital [PDF] |
| 20 November |
Statement |
Further update on Keydata Investment Services Limited |
| 19 November |
Final notice |
Rashid Farid [PDF] |
| 19 November |
Speech by Lesley Titcomb |
Keynote address to the European Mortgage Federation's annual conference |
| 19 November |
Consultation paper |
CP09/28: Listing Regime review Consultation on changes to the listing categories consequent to CP09/24 |
| 19 November |
Speech by Margaret Cole |
The FSA’s agenda for fighting financial crime |
| 18 November |
Speech by Sheila Nicoll |
Annual Conference
Conducting Business with Consumers – Delivering the best outcomes |
| 17 November |
Press release |
FSA fines former stockbroker £24,000 for market abuse |
| 16 November |
Final notice |
Nomura International Plc (“Nomura”) [PDF] |
| 13 November |
Press release |
Jon Pain addresses mortgage industry on FSA's mortgage market review proposals |
| 13 November |
Speech by Jon Pain |
How the regulator views the mortgage market |
| 13 November |
Press release |
FSA fines and bans former UBS employee for helping conceal unauthorised trading losses |
| 13 November |
Final notice |
Andrew Johnson Cumming [PDF] |
| 11 November |
Speech by Lesley Titcomb |
FSA Mortgage Market Review - what it means for intermediaries |
| 11 November |
Press release |
Mortgage broker banned for concealing true nature of governance arrangements from the FSA and for mortgage fraud |
| 11 November |
Press release |
FSA proposes to strengthen prudential standards for credit unions |
| 11 November |
Consultation paper |
A review of the Credit Union Sourcebook (CRED) |
| 11 November |
Occasional paper |
OP39: Regulatory reform and the cost of retail investing through life offices: 1988 - 2006 [PDF] |
| 11 November |
Speech by Jeremy Heales |
The FSA's view of the current insurance intermediary market |
| 10 November |
Press release |
FSA to simplify system for calculating regulatory fees |
| 10 November |
Consultation paper |
CP09/26: Regulatory fees and levies: policy proposals for 2010/11 |
| 9 November |
Press release |
FSA chief says cultural change needed to drive reform |
| 9 November |
Speech by Hector Sants |
Intensive Supervision: delivering the best outcomes |
| 6 November |
Press release |
Arrest made as FSA continues clamp down on share fraud |
| 6 November |
Newsletter |
Mortgage lenders’ Round-up - Issue 1 [PDF] |
| 6 November |
Handbook publication |
Handbook Notice 94 [PDF] |
| 6 November |
Press release |
FSA sets out new prudential regime for personal investment firms |
| 6 November |
Policy statement |
PS09/19: Review of the prudential rules for Personal Investment Firms (PIFs) Feedback to P08/20 and CP09/20 (Chapter 11) |
| 6 November |
Policy statement |
PS09/18: Financial Services Compensation Scheme reform Single customer view - verification |
| 6 November |
Policy statement |
PS09/17: Close links - feedback on CP07/21 |
| 5 November |
Final notice |
Zaneb Sarfraz trading as Pak Property Centre [PDF] |
| 5 November |
Final notice |
Anmbur Mohammed Saddiq [PDF] |
| 5 November |
Final notice |
Mohammed Hanif [PDF] |
| 5 November |
Press release |
FSA fines UBS £8million for failing to prevent employees carrying out unauthorised transactions with customer money |
| 3 November |
Final notice |
Alexei Krilov-Harrison [PDF] |
| 4 November |
Press release |
Former corporate broker intern and father found guilty of insider dealing |
| 4 November |
First supervisory notice |
Edward Adejumo trading as Maxim Finance [PDF] |
| 4 November |
First supervisory notice |
Gregory Peter Lagan trading as Gregory Lagan Motors [PDF] |
| 4 November |
First supervisory notice |
John Wood trading as Ruskin Associates [PDF] |
| 2 November |
First supervisory notice |
Derek Silk trading as Silk Insurance Brokers [PDF] |
| 2 November |
Handbook publication |
Handbook Development (Issue 116) [ PDF ] |
| 2 November |
Press release |
FSA chairman says 'no silver bullet' to address 'too-big-to-fail' challenge |
| 2 November |
Speech by Adair Turner |
Large systemically important banks: addressing the too-big-to-fail problem |
| 29 October |
Speech by Adair Turner |
Examining the causes of the financial crisis |
| 29 October |
Press release |
GMAC-RFC Limited fined £2.8million for unfair treatment of customers in arrears and repossessions and will pay up to £7.7m customer redress |
| 29 October |
Final notice |
GMAC-RFC Limited [PDF] |
| 28 October |
Final notice |
Red Carpet Estates [PDF] |
| 28 October |
Final notice |
Penwood Properties Limited [PDF] |
| 28 October |
Press release |
FSA begins new banking regulation to promote fairness for consumers |
| 28 October |
Press release |
Swinton to offer refunds on over 480,000 PPI policies following FSA intervention |
| 28 October |
Final notice |
Swinton Group Limited [PDF] |
| 27 October |
Press release |
FSA takes action to help investors with Lehman-backed structured products |
| 26 October |
Statement |
Lehman-backed structured products - update |
| 26 October |
Press release |
FSA announces tough new code for financial reporting disclosure |
| 26 October |
Discussion paper |
DP09/5: Enhancing financial reporting disclosures by UK credit institutions |
| 23 October |
Final notice |
Friends Provident [PDF] |
| 22 October |
Press release |
FSA publishes further analysis on systemically important banks and the cumulative impact of capital and liquidity reform |
| 22 October |
Discussion paper |
Turner Review Conference Discussion Paper |
| 21 October |
Miscellaneous |
Senior Supervisors Group: Risk Management Lessons from the Global Banking Crisis of 2008 [PDF] |
| 21 October |
Miscellaneous |
Senior Supervisors Group: Self-Assessment Template - A Supplement to Risk Management Lessons from the Global Banking Crisis of 2008 [PDF] |
| 21 October |
Press release |
FSA bans another East London broker for mortgage fraud |
| 21 October |
Miscellaneous |
Letter to Compliance Officers: Our Conduct of Business Sourcebook (COBS) projection rules for non-MiFID products [PDF] |
| 19 October |
Press release |
FSA sets out major reforms for the mortgage market |
| 19 October |
Discussion paper |
Discussion Paper 09/3 – the Mortgage Market Review |
| 16 October |
Final notice |
Faraz Ahmed Siddique [PDF] |
| 16 October |
Final notice |
Aston Sterling Insurance Services [PDF] |
| 15 October |
First supervisory notice |
Executive Investments Plc [PDF] |
| 14 October |
Speech by Verena Ross |
European Banking Roundtable - Keynote speech |
| 14 October |
Statement |
Update on The Freedom SIPP Limited |
| 14 October |
Policy statement |
Legislative framework for the regulation of alternative finance investment bonds (sukuk): summary of responses
A joint consultation with HM Treasury outlining legislative proposals for the regulation of alternative finance investment bonds (Sukuk) |
| 14 October |
Statement |
Lehman-backed structured products - update |
| 14 October |
Press release |
FSA outlines its approval and interview process for significant influence functions |
| 14 October |
Dear CEO |
Approving and supervising significant influence functions – our more intrusive regulatory approach |
| 13 October |
Press release |
FSA makes four new appointments to the Consumer Panel |
| 12 October |
Final notice |
John Jordan Complete Mortgage Services Limited [PDF] |
| 12 October |
Final notice |
John Christopher Jordan [PDF] |
| 12 October |
Press release |
FSA bans East London mortgage broker for misleading lenders |
| 9 October |
Speech by Mike Knight |
The Continuing Obligations Regime - the FSA's role |
| 9 October |
Speech by Sally Dewar |
Liquidity Conference – Keynote address |
| 8 October |
Press release |
FSA fines Seymour Pierce £154,000 for failing to prevent employee fraud |
| 8 October |
Consumer research |
Consumer awareness of the FSA and financial regulation [PDF] |
| 8 October |
Final notice |
Seymour Pierce Limited [PDF] |
| 7 October |
Press release |
FSA and firms reach agreement on MPPI |
| 7 October |
Press release |
Dresdner traders censured for abuse in debt market |
| 6 October |
Final notice |
Darren Morton [PDF] |
| 6 October |
Final notice |
Christopher Parry [PDF] |
| 6 October |
Press release |
FSA chairman outlines factors for successful European regulation |
| 6 October |
Speech by Adair Turner |
The City of London Corporation's Annual Reception for the City Office speech |
| 6 October |
Consultation paper |
CP09/25: Quarterly consultation (No.22) |
| 5 October |
Press release |
FSA finalises far-reaching overhaul of UK liquidity regulation |
| 5 October |
Policy statement |
Strengthening liquidity standards including feedback on CP08/22, CP09/13, CP09/14 |
| 2 October |
Consultation paper |
CP09/24: Listing regime review |
| 2 October |
Final notice |
Atom Associates Limited (trading in its own name and as “Divine Mortgages”) [PDF] |
| 2 October |
Final notice |
Mr Ayodele Olubunmi Thomas [PDF] |
| 1 October |
Press release |
FSA sets out policy on short selling |
| 1 October |
Feedback statement |
FS09/4: Short selling: Feedback on DP09/1 |
| 1 October |
Newsletter |
Commodity Markets Update Newsletter - Issue 2 [PDF] |
| 30 September |
Speech by Dan Waters |
The European Regulatory Agenda for Hedge Funds |
| 30 September |
Press release |
FSA publishes feedback to the Turner Review and associated discussion paper |
| 30 September |
Feedback statement |
FS09/3: A regulatory response to the global banking crisis - Feedback on DP09/2 |
| 29 September |
Press release |
FSA unveils tough measures to protect PPI consumers |
| 29 September |
Consultation paper |
CP09/23: The assessment and redress of payment protection insurance complaints |
| 28 September |
Press release |
FSA proposes significant strengthening of protections for sale and rent back customers |
| 28 September |
Consultation paper |
CP09/22: Regulating sale and rent back - the full regime |
| 25 September |
Handbook publication |
Handbook Notice 92 [PDF] |
| 24 September |
EU document |
Joint UK Financial Services Authority and HM Treasury response to EU Consultation Document: Possible initiatives to enhance the resilience of OTC derivatives markets [PDF] |
| 23 September |
Final notice |
Capital Enterprises (Yorkshire) Limited [PDF] |
| 23 September |
Final notice |
Abiodun Apena trading as Abbey Mortgage Broker [PDF] |
| 23 September |
Press release |
FSA reaffirms approach to consumer responsibilities |
| 23 September |
Feedback statement |
FS09/2: Consumer responsibility: Feedback on DP08/5 |
| 22 September |
Final notice |
Tomilola Omolola Ogunmoye [PDF] |
| 22 September |
Statement |
Finance director and two lawyers committed to the Crown Court to face insider dealing charges |
| 22 September |
Press release |
FSA chairman insists that the momentum for reform must be maintained |
| 22 September |
Speech by Adair Turner |
Mansion House Speech |
| 22 September |
Application refusal |
Philip Graham Lloyd [PDF] |
| 21 September |
Miscellaneous |
Guidelines on reporting of On-Exchange derivatives (AII and ISIN derivatives) [PDF] |
| 21 September |
Occasional paper |
Bank regulation, capital and credit supply: Measuring the impact of Prudential Standards [PDF] |
| 19 September |
Speech by Jon Pain |
Restoring Confidence & Trust |
| 17 September |
Press release |
Sally Dewar addresses FSA Asset Management Sector conference |
| 17 September |
Speech by Sally Dewar |
FSA Asset Management Sector conference on the EU Alternative Investment Fund Management Directive |
| 16 September |
Press release |
FSA and SEC discuss approaches to global regulatory requirements |
| 16 September |
Miscellaneous |
Transaction Reporting User Pack (TRUP) [PDF] |
| 16 September |
Press release |
FSA warns penny share customers |
| 16 September |
Final notice |
Talking Mortgage Solutions Limited [PDF] |
| 15 September |
Press release |
FSA bans mortgage broker for inadequate controls at his firm |
| 11 September |
Final notice |
Philip Graham Lloyd [PDF] |
| 11 September |
Press release |
FSA update on Lehmans-backed structured products |
| 11 September |
Newsletter |
Financial Crime Newsletter - Issue 13 |
| 10 September |
Press release |
FSA and ABI launch pension calculator to help people plan for retirement |
| 10 September |
Speech |
Setting out the FSA's strategy and approach to fighting fraud |
| 9 September |
Press release |
FSA fines firm £14,000 for financial advice failings |
| 9 September |
Final notice |
Henry Neil Limited [PDF] |
| 9 September |
Final notice |
Peter David Alexander Crane trading as David Crane Mortgage Broker [PDF] |
| 8 September |
Press release |
FSA fines Barclays £2.45m for failures in transaction reporting |
| 8 September |
Final notice |
Barclays Capital Securities Limited and Barclays Bank plc [PDF] |
| 7 September |
Final notice |
Financial Advantage Limited [PDF] |
| 7 September |
Final notice |
Skyline Insurance Brokers Limited [PDF] |
| 7 September |
Final notice |
Porchester Finance Limited [PDF] |
| 3 September |
Final notice |
White Square Investments Limited [PDF] |
| 3 September |
Final notice |
Mortgages Plus (UK) Limited [PDF] |
| 3 September |
Press release |
FSA publishes industry-level complaints data to increase transparency |
| 2 September |
Supervisory notice |
Straumur-Burdaras Investment Bank hf [PDF] |
| 2 September |
Final notice |
Michael Paul Dewdney trading as Michael Dewdney Associates [PDF] |
| 2 September |
Final notice |
Iqbal Saleem (trading as ISN Financial Services) [PDF] |
| 2 September |
Consumer research |
The impact of life
events on financial
capability: Evidence
from the BHPS [PDF] |
| 2 September |
Press release |
FSA fines broker for failing to prevent insider dealing |
| 1 September |
Final notice |
Mark Lockwood [PDF] |
| 1 September |
Press release |
FSA takes action against chief executive of mortgage network for poor controls over appointed representatives |
| 28 August |
Newsletter |
Market Watch Issue No.33 [ PDF ] |
| 28 August |
Handbook publication |
Handbook Development Newsletter (Issue 114) [ PDF ] |
| 28 August |
Newsletter |
LIST! Issue No. 22 [PDF] |
| 27 August |
Final notice |
Steven Moorley [PDF] |
| 27 August |
Press release |
FSA appoints Julian Adams as director of retail firms division |
| 26 August |
Research paper |
Impacts of Financial Crimes and Amenability to Control by the FSA: proposed framework for generating data in a comparative manner [PDF] |
| 26 August |
Occasional paper |
Scale and Impact of Financial Crime Project: Critical Analysis [PDF] |
| 25 August |
Press release |
FSA fines director for not disclosing information about adviser |
| 25 August |
Final notice |
Christopher Terence Davies[PDF] |
| 24 August |
Miscellaneous |
Letter to Compliance Officers - Readiness for the new Banking Conduct Regime [PDF] |
| 21 August |
Application refusal |
Evergreen Estates (UK) Limited [PDF] |
| 20 August |
Supervisory notice |
Michael Robert Cameron trading as Fidelity Corporate Services [PDF] |
| 20 August |
Press release |
FSA and CFTC to enhance regulatory cooperation and cross-border surveillance of oil markets |
| 19 August |
Miscellaneous |
Letter to the ISC: Shareholder engagement and the current regulatory regime [PDF] |
| 19 August |
Press release |
FSA provides clarity for activist shareholders |
| 19 August |
Press release |
FSA bans and fines mortgage broker £70,000 for mortgage fraud |
| 19 August |
Final notice |
Grace Nmadibechi Ada Ukala [PDF] |
| 18 August |
First supervisory notice |
Knox Ivory Financial Limited [PDF] |
| 14 August |
Final notice |
Colin William Wright [PDF] |
| 14 August |
Statement |
Wider Implications referral: Lehmans-backed structured products - update |
| 12 August |
Final notice |
Cavendish Financial Services Limited [PDF] |
| 12 August |
Miscellaneous |
The Financial Services Authority (FSA) restates below its approach to giving guidance and the status of guidance |
| 12 August |
Final notice |
Sandie Gillam trading as S G Mortgages [PDF] |
| 12 August |
Press release |
FSA confirms introduction of remuneration code of practice |
| 12 August |
Policy statement |
Reforming remuneration practices in financial services - Feedback on CP09/10 and final Rules |
| 8 August |
Statement |
FSA response to Treasury Select Committee report on mortgage arrears and access to mortgage finance |
| 5 August |
Final notice |
UBS AG [PDF] |
| 4 August |
Press release |
FSA fines and bans Newcastle Home Loans and its directors for false information in mortgage applications |
| 4 August |
Final notice |
Newcastle Home Loans Limited [PDF] |
| 4 August |
Final notice |
Newcastle Home Loans Limited [PDF] |
| 4 August |
Final notice |
NHL - David Purdie [PDF] |
| 4 August |
Final notice |
NHL - Grace Purdie [PDF] |
| 4 August |
Final notice |
NHL - Michael Foster [PDF] |
| 4 August |
Final notice |
NHL - Ken Robinson [PDF] |
| 4 August |
Final notice |
NHL - Linda Patterson [PDF] |
| 3 August |
Press release |
FSA bans Cornwall mortgage broker for fraud |
| 31 July |
Statement |
FSA initial response to TSC report |
| 31 July |
Final notice |
Meridian Loan Consultants [PDF] |
| 30 July |
First supervisory notice |
Devereux Klein Financial Management Limited [PDF] |
| 30 July |
Statement |
FSA's initial response to the Scottish Affairs Committee Report on Dunfermline Building Society |
| 30 July |
Press release |
FSA imposes public censure on Cheshire Life & Pensions |
| 30 July |
Final notice |
Cheshire Life & Pensions Consultants [PDF] |
| 29 July |
Final notice |
Stephen Neil Sanders [PDF] |
| 27 July |
Press release |
FSA confirms changes to the rules for approved persons |
| 24 July |
Press release |
FSA confirms transfer of business of Britannia Building Society to the Co-operative Bank plc |
| 24 July |
Decision notice |
Transfer of business of Britannia Building Society to the Co-operative Bank plc [PDF] |
| 24 July |
Press release |
FSA confirms changes to with-profits rules |
| 24 July |
Policy statement |
With-profits funds - compensation and redress |
| 24 July |
Policy statement |
Regulating Reclaim funds - Feedback on CP09/8 and final rules |
| 24 July |
Press release |
FSA announces changes to the Financial Services Compensation Scheme |
| 24 July |
Policy statement |
Banking and Compensation Reform - Feedback CP08/23, CP09/3, CP09/11 and CP09/16 |
| 24 July |
Handbook publication |
Handbook Notice 90 [PDF] |
| 24 July |
Supervisory notice |
The Freedom SIPP Limited [PDF] (2nd) |
| 24 July |
Supervisory notice |
The Freedom SIPP Limited [PDF] (1st) |
| 23 July |
Speech |
Smaller Business Practioner Panel Annual Public Meeting speech |
| 23 July |
Speech |
Practitioner Panel Chairman Annual Public Meeting Speech |
| 23 July |
Speech |
Chair Financial Services Consumer Panel Annual Public Meeting speech |
| 23 July |
Speech |
Adair Turner's FSA Annual public meeting speech |
| 23 July |
Speech |
Hector Sants' FSA Annual public meeting speech |
| 23 July |
Final notice |
City Estates Mortgages Limited [PDF] |
| 22 July |
Final notice |
Graeme Watson Financial Services LLP [PDF] |
| 22 July |
Press release |
FSA grants new waiver to firms on complaints handling |
| 22 July |
Press release |
HSBC firms fined over £3m for information security failings |
| 22 July |
Final notice |
HSBC Actuaries and Consultants Limited [PDF] |
| 22 July |
Final notice |
HSBC Insurance Brokers Limited [PDF] |
| 22 July |
Final notice |
HSBC Life (UK) Limited [PDF] |
| 21 July |
Press release |
FSA fines and bans directors for mismanaging investment scheme and fines firm for financial promotions failings |
| 21 July |
Final notice |
City Gate Money Managers Limited [PDF] |
| 21 July |
Final notice |
Neil David Marlow [PDF] |
| 21 July |
Final notice |
Timothy James Marlow [PDF] |
| 21 July |
Statement |
FSA statement on its use of stress tests in the insurance sector |
| 20 July |
Dear CEO letter |
Renumeration code of practice [PDF] |
| 17 July |
Press release |
FSA appoints Gareth Adams as senior advisor |
| 16 July |
Statement |
FSA statement re: Walker Review |
| 15 July |
Press release |
FSA bans director for inadequate control of his firm and winds up the business |
| 15 July |
Press release |
Empowering consumers through improving financial capability |
| 15 July |
Speech by Adair Turner |
Helping consumers through the recession: Rebuilding consumer trust in financial services |
| 13 July |
Press release |
FSA bans Essex mortgage broker for fraud |
| 10 July |
Speech by Dan Waters |
Key issues and challenges |
| 10 July |
First supervisory notice |
Exetra (UK) Limited [PDF] |
| 9 July |
Press release |
FSA bankrupts fraudulent mortgage broker for non-payment of financial penalty |
| 9 July |
Press release |
FSA plans better information for consumers on firms' complaints handling |
| 9 July |
Consultation paper |
CP09/21: Transparency as a Regulatory Tool and Publication of Complaints Data including Feedback to DP08/3 |
| 9 July |
FSA statement |
FSA statement re: David Miles |
| 9 July |
Final notice |
Clifford James Glenn trading as Clifford Glenn [PDF] |
| 8 July |
FSA statement |
FSA statement on the Government White Paper |
| 8 July |
Speech by Chris Pond |
A national approach to financial inclusion |
| 7 July |
Final notice |
Daniel Esqulant [PDF] |
| 6 July |
Final notice |
Mr Graham Darby [PDF] |
| 6 July |
Speech by Lesley Titcomb |
The regulatory environment affecting the mortgage world |
| 6 July |
Consultation paper |
CP09/20: Quarterley consultation (No.21) |
| 6 July |
Final notice |
Money for Life Limited [PDF] |
| 6 July |
Press release |
FSA proposes bigger fines to achieve credible deterrence |
| 6 July |
Consultation paper |
CP09/19: Enforcement financial penalties |
| 3 July |
Press release |
FSA bans East London mortgage broker for fraud |
| 2 July |
Speech by Jon Pain |
Mortgage market review and regulation of secured lending |
| 2 July |
Press release |
Financial Services Authority announces final stage of operational reforms with new integrated operating structure |
| 2 July |
First supervisory notice |
FTC London UK Limited [PDF] |
| 2 July |
Press release |
FSA fines director for appointed representative control failings |
| 1 July |
Final notice |
Monopoly@States Limited [PDF] |
| 1 July |
Final notice |
Mr Abdul Karim [PDF] |
| 1 July |
Final notice |
Mr Richard Anthony Holmes [PDF] |
| 30 June |
FSA Statement |
Update on Keydata Investment Services Ltd |
| 30 June |
Press release |
FSA chairman tells bankers radical changes in regulation essential |
| 30 June |
Speech by Adair Turner |
Address to the British Bankers' Association Annual International Banking Conference 2009 |
| 29 June |
Press release |
Lord Turner appointed chair of FSB's Standing Committee for Supervisory and Regulatory Co-operation |
| 29 June |
Approved person refusal |
James Alexander Moore [PDF] |
| 29 June |
Newsletter |
Mortgage Lender Briefing [PDF] |
| 26 June |
Press release |
UK short selling disclosure regime extended |
| 26 June |
Final notice |
Dele MacAulay Trading as Dele MacAulay Financial Services [PDF] |
| 26 June |
Final notice |
Dele MacAulay [PDF] |
| 26 June |
Policy statement |
PS09/10: Extension of the short selling disclosure obligation - Feedback to CP09/15 |
| 26 June |
Press release |
FSA bans director for inadequate supervision of his firm |
| 26 June |
Handbook publication |
Handbook Notice 89 [PDF] |
| 26 June |
Handbook publication |
Handbook Development (Issue 112) [ PDF ] |
| 25 June |
Final notice |
Simon Robert Gray [PDF] |
| 25 June |
Press release |
FSA details the enhanced standards people can expect from all investment advisers |
| 25 June |
Final notice |
First Trade UK Limited (In Liquidation) [PDF] |
| 25 June |
Consultation paper |
CP09/18: Distribution of retail investments: Delivering the RDR |
| 25 June |
Consumer research |
Describing advice services and adviser charging [PDF] |
| 25 June |
Miscellaneous |
Estimation of Total Incremental Compliance Costs for RDR Proposals [PDF] |
| 25 June |
Miscellaneous |
Firm behaviour and incremental compliance costs [PDF] |
| 25 June |
Miscellaneous |
Retail Distribution Review proposals: Impact on market structure and competition [PDF] |
| 24 June |
Final notice |
Heritage Finance Limited [PDF] |
| 24 June |
Speech by Dan Waters |
The future of financial regulation - Insights from a regulator |
| 24 June |
Press release |
FSA publishes Annual Report for 2008/09 |
| 24 June |
Corporate |
FSA Annual Report |
| 22 June |
Final notice |
Antony Harrison trading as Harrison Mortgage Strategies [PDF] |
| 22 June |
Press release |
FSA refers firms to enforcement in clampdown on poor mortgage arrears handling |
| 18 June |
Speech by Verena Ross |
Efficient markets and market Regulation |
| 18 June |
Final notice |
Alan John Lofts trading as Personal Financial Services [PDF] |
| 17 June |
Final notice |
East Sussex Motor Centre [PDF] |
| 16 June |
Speech by Adair Turner |
Regulating financial markets to secure economic stability |
| 16 June |
Press release |
Finance director and two lawyers charged with insider dealing |
| 16 June |
Press release |
FSA bans South London mortgage broker for fraud |
| 15 June |
Press release |
New Insurance Sector Director at the FSA |
| 11 June |
Speech by Adair Turner |
Priorities for the reform of global regulation - challenging past assumptions |
| 10 June |
FSA Statement |
FSA statement on profit participating deferred shares |
| 10 June |
Press release |
FSA bans broker for failings on mortgage fraud prevention |
| 9 June |
Final notice |
Akin Johnson Trading as Lifestyle Mortgages Islington [PDF] |
| 9 June |
Speech by Adair Turner |
Address to the ABI 2009 Conference |
| 9 June |
Final notice |
Abdul Razzaq trading as A Razzaq Insurance Brokers [PDF] |
| 9 June |
Press release |
Britannia Building Society and Co-operative Financial Services Limited/Co-operative Bank plc: Confirmation Hearing Details |
| 9 June |
Handbook publication |
Handbook Release 90 |
| 8 July |
Supervisory notice |
Clifford James Glenn trading as Clifford Glenn [PDF] |
| 8 June |
Press release |
Keydata Investment Services Ltd |
| 5 June |
First supervisory notice |
Iqbal Saleem trading as ISN Financial Services [PDF] |
| 5 June |
Press release |
FSA consults on additional guidance for building societies |
| 5 June |
Consultation paper |
CP09/17: A Specialist Sourcebook for Building Societies: Enhanced supervisory guidance on financial and credit risk management |
| 5 June |
Consultation paper |
CP09/14: Strengthening liquidity standards 3: Liquidity transitional measures |
| 4 June |
Market Watch |
Market Watch Issue 32 [PDF] |
| 4 June |
Press release |
FSA proposes extension of separate deposit protection limits |
| 4 June |
Consultation paper |
CP09/16: Financial Services Compensation Scheme: Verification of the single customer view and changes to deposit compensation |
| 5 June |
Final notice |
Simon William Robins [PDF] |
| 3 June |
Final notice |
Guiliano Chianelli trading as GCM [PDF] |
| 3 June |
Miscellaneous |
Building Society Statistics for 2008 |
| 3 June |
Press release |
FSA to protect sale and rent back customers |
| 3 June |
Policy statement |
PS09/9: Regulating sale and rent back: an interim regime - Feedback on CP09/6 and near-final rules |
| 2 June |
Policy statement |
PS09/8: Consolidated Policy Statement on our fee-raising arrangements and regulatory fees and levies 2009/10 - Including feedback on CP08/18, CP09/7 and 'made rules' |
| 2 June |
Final notice |
Finance Direct [PDF] |
| 2 June |
Final notice |
Network Data Limited [PDF] |
| 1 June |
Final notice |
Bansal Estates and Insurance Agents [PDF] |
| 1 June |
Press release |
Financial Services Compensation Scheme Board appointments |
| 1 June |
Press release |
FSA proposes to extend short selling disclosure regime |
| 1 June |
Consultation paper |
CP09/15: Extension of the short selling disclosure obligation |
| 1 June |
Final notice |
George Albert Loscombe trading as Simple Mortgage Solutions [PDF] |
| 29 May |
Handbook publication |
Handbook Notice 88 [PDF] |
| 29 May |
Handbook publication |
Handbook Development Newsletter (Issue 111) [PDF] |
| 28 May |
Press release |
FSA statement on its use of stress tests |
| 28 May |
Press release |
Six arrested in FSA insider dealing investigation |
| 26 May |
Press release |
FSA bans and fines trader £140,000 for unauthorised 'pre-hedging' |
| 22 May |
Final notice |
Nilesh Shroff [PDF] |
| 21 May |
UKLA newsletter |
LIST! Issue No. 21 [PDF] |
| 20 May |
First supervisory notice |
Hull Northern Credit Union Limited [PDF] |
| 20 May |
Final notice |
Saltire Underwriting Agency Limited [PDF] |
| 20 May |
Press release |
FSA bans trader for concealing his trading position |
| 20 May |
Final notice |
The Financial Associate (TFA) Limited [PDF] |
| 20 May |
Final notice |
Murray's Financial Services Limited [PDF] |
| 20 May |
Final notice |
The Mortgage Shop (North West) [PDF] |
| 20 May |
Final notice |
Mortgage Quest 2000 Limited [PDF] |
| 20 May |
Final notice |
Richard Francis Grey trading as Greygoose Mortgages Services [PDF] |
| 20 May |
Final notice |
Windmill Finance Services Limited [PDF] |
| 18 May |
Final notice |
David Connor Redmond [PDF] |
| 14 May |
Speech by Hector Sants |
The challenges facing bank regulation |
| 14 May |
Occasional paper |
Financial capability and wellbeing: Evidence from the BHPS [PDF] |
| 14 May |
Press release |
FSA bans Bradford mortgage broker for mortgage fraud |
| 14 May |
Final notice |
Sofique Ullah trading as M A Financial Services and M A Mortgages [PDF] |
| 13 May |
Press release |
FSA fines Morgan Stanley £1.4m for failing to prevent trader mis-marking and fines and bans Matthew Sebastian Piper |
| 13 May |
Final notice |
Morgan Stanley & Co International Plc (“Morgan Stanley”) [PDF] |
| 13 May |
Final notice |
Matthew Sebastian Piper [PDF] |
| 12 May |
Speech by Dan Waters |
Mortgage distribution - What are the right outcomes for consumers and how do we achieve them? |
| 12 May |
Speech by Jon Pain |
The way forward |
| 12 May |
Press release |
Lord Turner addresses FSA mortgage conference |
| 12 May |
Speech by Adair Turner |
The mortgage market: Issues for debate |
| 11 May |
Press release |
FSA bans and fines mortgage broker £101, 279 for fraud |
| 8 May |
Miscellaneous |
Disclosure of Contracts for Difference - Questions & Answers [PDF] |
| 7 May |
Statement |
Wider Implications referral: Lehman-backed structured products
|
| 7 May |
Press release |
FSA calls for more effective governance and risk management at firms |
| 7 May |
Speech by Hector Sants |
The regulator's role in judging competence |
| 7 May |
Occasional paper |
The costs and benefits of regulation in a market with consumer confusion [PDF] |
| 6 May |
First supervisory notice |
City Estates Mortgages Limited [PDF] |
| 6 May |
Press release |
Seven arrests in FSA operation on boiler rooms |
| 6 May |
Feedback statement |
FS09/1: Insurance Risk Management: The Path to Solvency II - Feedback on DP08/4 |
| 6 May |
First supervisory notice |
Robert Smith Cars Limited [PDF] |
| 1 May |
Statement |
FSA statement for firms on Swine Flu |
| 1 May |
Miscellaneous |
Core Tier 1 Capital - letter to British Banker's Association [PDF] |
| 30 April |
Miscellaneous |
Supplementary Annex to Good and poor practices in Key Features Documents [PDF] |
| 30 April |
Press release |
FSA bans East London mortgage broker for involvement with fraud |
| 29 April |
Press release |
Hedge fund manager banned and fined £35,000 for mismarking trading positions to hide losses |
| 28 April |
Final notice |
Loic Albert Antoine Montserret [PDF] |
| 27 April |
Final notice |
Mr Gabriel Aramide [PDF] |
| 27 April |
Speech by Margaret Cole |
Delivering Credible Deterrence |
| 27 April |
Speech by Sally Dewar |
Tackling financial crime in the current economic climate |
| 27 April |
Press release |
FSA chairman expands on themes from Turner Review |
| 27 April |
Speech by Adair Turner |
Building a more stable global banking system |
| 27 April |
Press release |
Over 65s most likely to be targeted by share fraudsters, warns FSA |
| 24 April |
Final notice |
Mohammad Rana trading as Countrywide Management Consultancy and as Property Compass [PDF] |
| 24 April |
Press release |
FSA implements changes to simplify Financial Services Compensation Scheme |
| 24 April |
Policy statement |
PS09/7: Financial Services Compensation Scheme: Review of limits - Feedback on CP08/15 and made rules for non-deposit limits |
| 24 April |
Press release |
New banking regulation promotes fairness for consumers |
| 24 April |
Policy statement |
PS09/6: Regulating retail banking conduct of business - Feedback on CP08/19 and final rules |
| 24 April |
Handbook publication |
Handbook Notice 87 [PDF] |
| 24 April |
Handbook publication |
Handbook Development Newsletter (Issue 110) [PDF] |
| 24 April |
Second supervisory notice |
Network Data Limited [PDF] |
| 22 April |
Application refusal |
First Start Investments Limited [PDF] |
| 20 April |
Final notice |
Joy Obika Sydney trading as Joy Sydney Finance [PDF] |
| 17 April |
First supervisory notice |
Network Data Limited [PDF] |
| 16 April |
Miscellaneous |
Response to Dr Vince Cable MP in respect of the FSA's regulation of the building society sector [PDF] |
| 16 April |
Miscellaneous |
FSA response to Rt Hon Alistair Darling MP on the FSA's supervision of Dunfermline [PDF] |
| 16 April |
Press release |
FSA bans and fines mortgage broker £100,000 for fraud |
| 15 April |
Final notice |
Milan Vukelic [PDF] |
| 15 April |
Consultation paper |
CP09/13: Strengthening liquidity standards 2: Liquidity reporting |
| 15 April |
Consumer Research paper |
Post implementation review of ICOBS: Oral Disclosure Rule in sales of Critical Illness Cover – baseline survey [PDF] |
| 14 April |
Press release |
Real help for North West and North East through £12m Moneymadeclear service pathfinder |
| 9 April |
Statement |
Presbyterian Mutual Society |
| 9 April |
Industry guidance |
IMA guidance on paperless renunciation / transfer of units / shares in authorised funds |
| 9 April |
Press release |
FSA confirms Industry Guidance designed to help more efficient transfer of investment fund units |
| 8 April |
Final notice |
Mr Zia Chowdhury [PDF] |
| 8 April |
Press release |
FSA bans directors of mortgage firm for failings on financial crime prevention |
| 8 April |
Final notice |
James Dean [PDF] |
| 8 April |
Final notice |
Peter Dean [PDF] |
| 8 April |
Final notice |
UK Finance House Limited [PDF] |
| 7 April |
Miscellaneous |
Post implementation review of the new use of dealing commission regime |
| 6 April |
Final notice |
Abiola Babajide Agbalaya [PDF] |
| 6 April |
Final notice |
Grace Olufunmiola Olatunji [PDF] |
| 6 April |
Final notice |
Herald Finance Limited [PDF] |
| 6 April |
Final notice |
Thames Valley Motorcycles Limited [PDF] |
| 6 April |
Final notice |
Marcus Leitch trading as The Finance House [PDF] |
| 6 April |
Press release |
FSA wins case to ban former chief executive of Gen Re business unit |
| 6 April |
Press release |
FSA bans director for advice failings |
| 6 April |
Final notice |
Penn Financial Services Unlimited [PDF] |
| 6 April |
Final notice |
Norman Mark McCance [PDF] |
| 3 April |
Consultation paper |
CP09/12: Quarterly consultation (No.20) |
| 3 April |
First supervisory notice |
Alan John Lofts trading as Personal Financial Services [PDF] |
| 2 April |
First supervisory notice |
First Trade UK Limited [PDF] |
| 2 April |
First supervisory notice |
East Sussex Motor Centre [PDF] |
| 2 April |
First supervisory notice |
David Viner Element trading as Money Matters [PDF] |
| 2 April |
Press release |
FSA wins market abuse case against Winterflood |
| 1 April |
Speech |
The Regulatory Response of the G20 to the Financial Crisis |
| 1 April |
Speech |
The Outlook for Banking and Banking Regulation |
| 1 April |
Newsletter |
General Insurance Newsletter - Issue 16 [PDF] |
| 1 April |
Newsletter |
Life Insurance Newsletter - Issue 14 [PDF] |
| 1 April |
Miscellaneous |
Letter to Compliance Officers re: Arranging adequate protection of clients' assets and money [PDF] |
| 1 April |
Occasional paper |
Did life and pensions “disclosure” work as expected? [PDF] |
| 31 March |
Press release |
Two arrested in FSA insider dealing investigation |
| 31 March |
Policy Statement |
PS09/5: Fees and levy policy and certain regulatory fee and levy rates 2009/10 – including feedback on CP08/18 and part of CP09/7 |
| 31 March |
Press release |
FSA consults on extra deposit protection for temporary high balances |
| 31 March |
Consultation paper |
CP09/11: FSCS: temporary high deposit balances and implementing changes to the Deposit Guarantee Schemes Directive |
| 31 March |
UKLA publication |
UKLA Publications Update [PDF] |
| 30 March |
Handbook publication |
Handbook Development Newsletter (Issue 109) [PDF] |
| 30 March |
Handbook publication |
Handbook Notice 86 [PDF] |
| 30 March |
Policy Statement |
PS09/4: Implementation of the Payment Services Directive – changes to the FSA Handbook Feedback on CP08/14 and final rules |
| 30 March |
Press release |
FSA bans London mortgage broker for fraud |
| 30 March |
Financial capability publication |
Evaluation of the young people and money training for youth work practitioners [PDF] |
| 27 March |
Speech by Adair Turner |
The Turner Review Conference |
| 27 March |
Press release |
Solicitor and his father-in-law found guilty in FSA insider dealing case |
| 26 March |
Speech by Nausicaa Delfas |
Treating Customers Fairly - The way forward |
| 26 March |
Final notice |
Gordon Benville [PDF] |
| 26 March |
Final notice |
Gordon Benville trading as Kingsfield [PDF] |
| 25 March |
Final notice |
Ashfaq Ahmed trading as Eastside Mortgages [PDF] |
| 24 March |
Speech by Dan Waters |
Regulatory Challenges for Fund Managers |
| 24 March |
Speech by Verena Ross |
Lessons from the financial crisis |
| 24 March |
Press release |
FSA censures broker for advice failings on self-certified mortgages |
| 23 March |
Final notice |
Mortgages Remortgages Limited [PDF] |
| 20 March |
Miscellaneous |
Letter to Trade Associations on Individual Capital Guidance (ICG) and the financial resources rule (GENPRU 1.2.26R) [PDF] |
| 20 March |
Miscellaneous |
Decision by the Financial Services Authority on the applications of Scarborough Building Society and Skipton Building Society for confirmation of a Transfer of Engagements under Section 95 of the Building Societies Act 1986 [PDF] |
| 20 March |
Press release |
FSA confirms Scarborough Building Society merger with the Skipton Building Society |
| 19 March |
First supervisory notice |
Griffiths McAlister Insurance Brokers Limited [PDF] |
| 19 March |
Occasional paper |
On the Behaviour and Determinants of Risk- Based Capital Ratios: Revisiting the Evidence from UK Banking Institutions [PDF] |
| 19 March |
Press release |
FSA fines insurance claims handler for network control failings and for misleading clients |
| 18 March |
Speech |
Turner Review Press Conference: Speaking notes and slides for the press |
| 18 March |
Press release |
FSA publishes consultation paper on remuneration |
| 18 March |
Consultation paper |
CP09/10: Reforming remuneration practices in financial services |
| 18 March |
Press release |
The FSA publishes "The Turner Review": a wide-ranging review of global banking regulation |
| 18 March |
Corporate |
The Turner Review |
| 18 March |
Discussion paper |
DP09/2: A regulatory response to the global banking crisis |
| 17 March |
First supervisory notice |
Bridgewater House (UK) Limited [PDF] |
| 16 March |
Undertaking |
Barclays Bank PLC [PDF] |
| 12 March |
Speech by Hector Sants |
Delivering intensive supervision and credible deterrence |
| 11 March |
Final notice |
Superquote.com Limited [PDF] |
| 11 March |
Speech by Hector Sants |
The Crisis: the role of investors |
| 11 March |
Statement |
Winterflood market abuse Tribunal Hearing starts today |
| 11 March |
Press release |
Renbe Associates banned for submitting false and misleading information to the FSA |
| 11 March |
Final notice |
Mr Anthony Abiona trading as Renbe Associates [PDF] |
| 10 March |
Miscellaneous |
Senior Supervisors Group Report on Credit Default Event Management [PDF] |
| 9 March |
First supervisory notice |
Straumur-Burdaras Investment Bank hf. [PDF] |
| 9 March |
Final notice |
Fleet Worldwide Shipping Limited [PDF] |
| 9 March |
Press release |
FSA continues to strengthen enforcement team |
| 5 March |
FSA Statement |
CFTC and FSA welcome IOSCO proposals to boost regulation of commodity futures markets |
| 3 March |
Final notice |
Eastbourne Financial Services Limited (In Liquidation) [PDF] |
| 3 March |
FSA Statement |
Bankas Snoras decides not to open a branch in the UK and to withdraw its Tribunal case |
| 3 March |
Press release |
New Contracts for Difference disclosure regime to take effect in June |
| 3 March |
Policy Statement |
Disclosure of Contracts for Difference - Feedback on CP08/17 and final rules |
| 2 March |
Press release |
FSA bans Wakefield mortgage broker for fraud |
| 2 March |
Final notice |
Easy Car Credit & Rentals Limited [PDF] |
| 2 March |
Final notice |
Mohammed Ahmed [PDF] |
| 27 February |
Handbook publication |
Handbook Notice 85 [PDF] |
| 27 February |
Handbook publication |
Handbook Development Newsletter (Issue 108) [ PDF ] |
| 26 February |
Statement |
Detailed FSA statement on the capital implications of the Government Asset Protection Scheme |
| 26 February |
Press Release |
FSA publishes code of practice on remuneration policies |
| 26 February |
Statement |
FSA statement on the capital implications of the Government Asset Protection Scheme |
| 26 February |
Code of Practice |
FSA Code of practice on remuneration policies |
| 25 February |
Newsletter |
Market Watch - Issue 31 [PDF] |
| 24 February |
Press release |
FSA wants all firms to stop selling single premium PPI |
| 24 February |
Speech by Dan Waters |
PPI and Competition Commission Remedies |
| 24 February |
Dear CEO letter |
Sale of single premium payment protection insurance (PPI) with unsecured personal loans [PDF] |
| 24 February |
2nd Supervisory Notice |
Wilmot Financial Solutions Limited [PDF] |
| 23 February |
Press release |
FSA consults further on change to with-profits rules |
| 23 February |
Consultation paper |
CP09/9: With-profit funds - compensation and redress |
| 19 February |
Supervisory notice |
Irvine North Credit Union Limited [PDF] |
| 19 February |
Final notice |
Winston Neville Bower trading as Bower and Bower [PDF] |
| 19 February |
Final notice |
Iseolorunpo James Adegboye trading as Addison James & Co. [PDF] |
| 19 February |
Final notice |
Peter John Carr [PDF] |
| 19 February |
Final notice |
Daren Mitchell Hales trading as Mitchell and Company [PDF] |
| 17 February |
Final notice |
Regency Mortgages UK Limited [PDF] |
| 17 February |
Final notice |
Graeme Miller [PDF] |
| 17 February |
Final notice |
Dennis Jewitt [PDF] |
| 17 February |
Press release |
FSA appoints Mark Norris as chief operating officer |
| 17 February |
Press release |
FSA plans proportionate regime for regulating Reclaim Funds |
| 17 February |
Consultation paper |
CP09/8: Regulating Reclaim funds |
| 17 February |
Statement |
FSA Statement: FSA wins appeal against solicitors firm that aided boiler room scammers |
| 16 February |
Press release |
FSA bans broker for mortgage fraud |
| 12 February |
Speech by Dan Waters |
Industry response to developments in regulation of structured products |
| 12 February |
Press release |
FSA publishes its 2009/10 Business Plan |
| 12 February |
Corporate |
Business Plan 2009/10 |
| 12 February |
Consultation paper |
CP09/7: Regulatory fees and levies: Rates proposals 2009/10 |
| 12 February |
Miscellaneous |
Supervisory Enhancement Programme: closing summary |
| 11 February |
FSA statement |
FSA statement re: HBOS |
| 11 February |
FSA statement |
FSA statement re: Sir James Crosby's resignation |
| 10 February |
Policy statement |
PS09/2: Rights issue subscription periods |
| 9 February |
Corporate |
Financial Risk Outlook 2009 |
| 9 February |
Press release |
FSA publishes Financial Risk Outlook |
| 9 February |
Press release |
FSA secures over £1 million for victims of share scam |
| 6 February |
Press release |
FSA proposes enhanced transparency requirements on short selling for all stocks |
| 6 February |
Discussion paper |
DP09/1: Short selling |
| 6 February |
Press release |
FSA regulation aims to address consumer problems in sale and rent back market |
| 6 February |
Consultation paper |
CP09/6: Regulating sale and rent back: an interim regime |
| 5 February |
Speech |
Treating customers fairly - issues at board level |
| 5 February |
Final notice |
Waqas Ahmed Siddique [PDF] |
| 5 February |
Other |
Pension-switching advice: suitability assessment template |
| 4 February |
Press release |
FSA fines AIM company director for market abuse |
| 4 February |
Supervisory notice |
Aaron Nickols trading as Warwick Finance [PDF] |
| 3 February |
First supervisory notice |
Alan Vaughan trading as Vaughan Financial Solutions [PDF] |
| 30 January |
Press release |
Scarborough and Skipton Building Societies: merger confirmation hearing |
| 30 January |
Press release |
FSA fines broker for advice failings on self-certified mortgages |
| 30 January |
Supervisory notice |
Clifford James Glenn trading as Clifford Glenn [PDF] |
| 29 January |
Consumer research |
Consumer Purchasing and Outcomes Report (CPOS) [PDF] |
| 29 January |
Miscellaneous |
Clarification of ICOBS Requirements Following Publication of the Final Report of the Competition Commission's Market Investigation into the Supply of PPI |
| 28 January |
Press release |
Pacific Continental former chief executive and former finance director both banned and fined £80,000 and £95,000 |
| 27 January |
Final notice |
Darwin Lewis Clifton / Byron Holdings Ltd [PDF] |
| 27 January |
Final notice |
Steven Geoffrey Griggs [PDF] |
| 27 January |
Final notice |
Pacific Continental Securities (UK) Limited (in liquidation) [PDF] |
| 26 January |
Handbook publication |
Handbook Notice 84 [PDF] |
| 26 January |
Consultation paper |
CP09/5: Obtaining and using firm-commissioned reports |
| 26 January |
Press release |
FSA bans Liverpool mortgage adviser |
| 26 January |
Press release |
Legacy Financial Planning Ltd fined £28,000 for failing to adequately explain risk to investors |
| 26 January |
Final notice |
Gillen Farrelly Independent Mortgage Advisers [PDF] |
| 26 January |
Final notice |
Stone Financial Management Limited [PDF] |
| 26 January |
Final notice |
John David Cook [PDF] |
| 23 January |
Newsletter |
Handbook Development (Issue 107) [ PDF ] |
| 23 January |
Newsletter |
LIST! Issue No. 20 [PDF] |
| 23 January |
Press release |
Entertainment Rights plc fined £245,000 for 78 days delay in disclosing inside information |
| 22 January |
Miscellaneous |
FSA response to Rt Hon John McFall MP on short-selling [PDF] |
| 22 January |
Undertaking |
The On-Line Partnership Limited [PDF] |
| 22 January |
Press release |
FSA extends waiver to firms on complaints handling |
| 21 January |
Press release |
FSA chairman sets out agenda for reforming financial regulation |
| 21 January |
Speech by Adair Turner |
The financial crisis and the future of financial regulation |
| 21 January |
Statement |
Mutual societies mergers: FSA move allows separate deposit protection limits |
| 20 January |
Statement |
FSA withdraws appeal on Salman Khan Tribunal decision |
| 20 January |
Press release |
Update on FSA work on the sale of PPI |
| 20 January |
Press release |
Wolfson fined £140,000 for delaying disclosure of inside information |
| 19 January |
Speech by Thomas Huertas |
The rationale for and limits of bank supervision |
| 19 January |
Handbook |
Short selling – frequently asked questions v.2 [PDF] |
| 19 January |
Final notice |
Entertainment Rights plc [PDF] |
| 19 January |
Final notice |
Wolfson Microelectronics Plc [PDF] |
| 19 January |
Press release |
FSA bans and fines broker £101,106 for mortgage fraud – also bans second broker |
| 19 January |
Statement |
FSA Statement on regulatory approach to bank capital |
| 19 January |
Miscellaneous |
Financial Crime - Perceptions Survey [PDF] |
| 19 January |
Newsletter |
Financial Crime Newsletter - Issue 12 [PDF] |
| 16 January |
Final notice |
Legacy Financial Planning Limited [PDF] |
| 16 January |
Final notice |
Cross Country Credit (Europe) Limited [PDF] |
| 16 January |
Speech by Dan Waters |
Speech: The Retail Distribution Review - practical challenges for the investment industry |
| 15 January |
Speech by Jon Pain |
The Retail Distribution Review – the key to our retail strategy |
| 15 January |
Statement |
FSA Statement on the Parliamentary Ombudsman's Enquiry into the regulation of Equitable Life |
| 14 January |
Press release |
FSA confirms extension of short selling disclosure regime |
| 14 January |
Policy statement |
PS09/1: Temporary short selling measures - Feedback on CP09/1 |
| 14 January |
Statement |
FSA welcomes proposed new ‘immunity notices’ power |
| 14 January |
Approved person refusal |
Mr Nigel Alan Rees [PDF] |
| 14 January |
Press release |
Belgian private investor fined £176,254 for market abuse |
| 13 January |
Final notice |
Platinum Estates and Mortgages Limited [PDF] |
| 13 January |
Press release |
FSA and HM Treasury announce partners to help deliver Money Guidance |
| 13 January |
Speech by Katherine Webster |
FSA's interpretation of the Unfair Terms in Consumer Contracts Regulations 1999 |
| 12 January |
Final notice |
Erik Boyen [PDF] |
| 12 January |
Consultation paper |
CP09/4: Rights issue subscription periods |
| 12 January |
Undertaking |
National Australia Bank (PDF) |
| 12 January |
Miscellaneous |
Letter on behalf of the FSA and the FSCS to the British Bankers' Association, Building Societies Association and Association of Foreign Banks - FSCS levies for deposit-taker defaults: implications for firms. [PDF] |
| 12 January |
Press release |
FSA proposes to reduce rights issue subscription periods |
| 9 January |
Thematic review |
MiFID Supervisory Priorities- results of wholesale thematic review [PDF] |
| 9 January |
Final notice |
Kim Kearney trading as Pen Park Motor Group [PDF] |
| 9 January |
Final notice |
Michael Tomlinson [PDF] |
| 9 January |
Final notice |
Fitzgerald Mortgage Services Limited [PDF] |
| 9 January |
Final notice |
Lynton Jaynes trading as MortgageWize [PDF] |
| 9 January |
Final notice |
Western County Consultants Limited [PDF] |
| 9 January |
Final notice |
Harry Brian Hopkinson [PDF] |
| 9 January |
Press release |
FSA clarifies disclosure requirements for directors |
| 8 January |
Press release |
FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls |
| 7 January |
Press release |
FSA consults on changes to financial compensation scheme |
| 7 January |
Consultation paper |
CP09/3: Financial Services Compensation Scheme reform |
| 7 January |
Consumer research |
Consumer awareness of the Financial Services Compensation Scheme [PDF] |
| 7 January |
Report by Ernst & Young |
Fast payout study - final report [PDF] |
| 7 January |
Press release |
Insider Dealing: Financial Services Authority prosecutes Mr Neil Rollins |
| 6 January |
Final notice |
Aon Limited [PDF] |
| 6 January |
Final notice |
Peter Richard Hilder [PDF] |
| 6 January |
Final notice |
Peter Richard Hilder, formerly trading as Savings Assured Mortgages [PDF] |
| 6 January |
Consultation paper |
Quarterly consultation (No.19) |
| 5 January |
Final notice |
First Mortgage Consultancy Limited [PDF] |
| 5 January |
Press release |
FSA proposes to extend short selling disclosure regime |
| 5 January |
Consultation paper |
CP09/01: Temporary short selling measures |
