| Date |
Type |
Subject |
| 19 March |
Press release |
Financial Services Authority confirms Chelsea Building Society merger with the Yorkshire Building Society |
| 19 March |
Miscellaneous |
Decision by the Financial Services Authority on the applications of Yorkshire Building Society and Chelsea Building Society for confirmation of a Transfer Of Engagements under Sections 94 and 95 of the Building Societies Act 1986 [PDF] |
| 18 March |
Speech by Ken Hogg |
What are the key risks facing the insurance sector? |
| 18 March |
Speech by Jon Pain |
Our Approach to Insurance Supervision |
| 18 March |
Consultation paper |
CP10/7: Taping: Removing the mobile phone exemption |
| 17 March |
Speech by Adair Turner |
What do banks do, what should they do and what public policies are needed to ensure best results for the real economy? |
| 17 March |
Press release |
FSA Chairman discusses potential for new macroprudential policy tools to manage credit and asset price instability |
| 17 March |
Press release |
FSA publishes Business Plan for 2010/11 |
| 17 March |
Corporate |
Business Plan 2009/10 |
| 16 March |
Newsletter |
Mortgage lenders’ Round-up - Issue 4 [PDF] |
| 16 March |
Press release |
FSA bans trader for 'mis-marking' |
| 16 March |
Final notice |
Alexis Stenfors [PDF] |
| 15 March |
Final notice |
Sally-Anne Jones trading as Red Loans and Mortgages [PDF] |
| 15 March |
Press release |
FSA and Police contact 1,000 share fraud targets after seizing another boiler room 'master list' |
| 15 March |
Press release |
Investment banker and wife charged with insider dealing - third suspect arrested in Mayotte |
| 12 March |
Press release |
FSA CEO outlines new conduct regulation strategy - consumer protection through early intervention |
| 12 March |
Speech by Hector Sants |
UK Financial Regulation: After the Crisis |
| 12 March |
Statement |
FSA Statement to the US bankruptcy court examiner on the collapse of Lehman Brothers Holdings inc |
| 11 March |
Press release |
Former Cazenove broker sentenced to 21 months in prison for insider dealing |
| 11 March |
Press release |
New joint committee proposed to enhance consumer protection |
| 11 March |
Discussion paper |
DP10/1: Consumer complaints (emerging risks and mass claims) |
| 10 March |
Press release |
Former Cazenove partner found guilty of insider dealing |
| 10 March |
Final notice |
Jim Fanning trading as James Fanning Financial Services [PDF] |
| 10 March |
Press release |
FSA publishes Financial Risk Outlook |
| 10 March |
Corporate |
The Financial Risk Outlook 2010 |
| 9 March |
Speech by Linda Woodall |
What intensive supervision means for small firms |
| 9 March |
Consultation paper |
CP10/6: The assessment and redress of payment protection insurance complaints; feedback on CP 09/23 and further consultation |
| 9 March |
Press release |
FSA update on PPI reforms |
| 8 March |
Final notice |
Mr Adam John Lucas trading as People Loans [PDF] |
| 8 March |
Statement |
Liquidity Calibration statement |
| 4 March |
Final notice |
Oke Hassan [PDF] |
| 3 March |
Speech by Graeme Ashley-Fenn |
Corporate governance – an FSA perspective |
| 3 March |
Press release |
FSA fines IFA director £49,000 for putting customers at risk of receiving poor pension switching advice |
| 2 March |
Press release |
FSA fines and bans Bromley mortgage broker for submitting fraudulent mortgage applications |
| 2 March |
Statement |
Treasury Select Commitee Hearing - Too big to fail |
| 1 March |
Final notice |
G & W 5 Limited [PDF] |
| 1 March |
Press release |
FSA finalises new framework for financial penalty-setting |
| 1 March |
Policy statement |
PS10/4: Enforcement financial penalties - feedback on CP09/19 |
| 26 February |
Speech by Thomas Huertas |
Resolution and Contagion |
| 26 February |
Policy statement |
PS10/3: Funds of Alternative Investment Funds (FAIFs) Including feedback on CP08/4 |
| 26 February |
Policy statement |
PS10/2: Listing Regime Review Feedback on CP09/24 and CP09/28 with final rules |
| 25 February |
Speech by Dan Waters |
Evaluating the prospects for the UK and European market under the Alternative Investment Fund Managers Directive |
| 25 February |
Press release |
FSA fines national financial advice firm £700,000 for failings relating to Lehman-backed structured product sales |
| 24 February |
Final notice |
Mr Charles Palmer [PDF] |
| 24 February |
Final notice |
RSM Tenon Financial Services Limited [PDF] |
| 24 February |
Speech by Sally Dewar |
Regulatory challenges and developments in the Bond Markets |
| 24 February |
Press release |
FSA issues warning about new share scam |
| 24 February |
Speech by Peter Smith |
FSA sets out concerns about Traded Life Policy Investments |
| 24 February |
Press release |
FSA censures Park Row, announces a customer redress exercise up to £7.8m and fines former CEO £49,000 |
| 23 February |
Final notice |
Peter Sprung [PDF] |
| 23 February |
Final notice |
Park Row [PDF] |
| 23 February |
Miscellaneous |
Assessing possible sources of systemic risk from hedge funds [PDF] |
| 23 February |
Press release |
FSA returns £270,000 to victims of share fraud |
| 23 February |
Final notice |
Michael Robert Cameron trading as Fidelity Corporate Services [PDF] |
| 18 February |
Press release |
Glasgow stock broker firm fined £101,500 |
| 17 February |
Final notice |
Direct Sharedeal Limited[PDF] |
| 17 February |
Press release |
Semperian Limited Partnership pleads guilty to change in control offence |
| 17 February |
Press release |
FSA takes robust action against Wills & Co to stop it putting customers at risk |
| 16 February |
Final notice |
Wills & Co Stockbrokers Limited [PDF] |
| 16 February |
Final notice |
Darren Lansdown [PDF] |
| 16 February |
Final notice |
Katharine Prichard [PDF] |
| 16 February |
Press release |
Three Turkish oil company executives fined £1.16m for market abuse |
| 16 February |
Statement |
Update on Lifemark |
| 15 February |
Press release |
FSA bans London based mortgage broker for incompetence and failing to prevent mortgage fraud |
| 15 February |
Press release |
FSA chairman says past assumptions about the benefits of unlimited financial services liberalisation and innovation have to be challenged |
| 15 February |
Speech by Adair Turner |
After the crises: assessing the costs and benefits of financial liberalisation |
| 12 February |
Press release |
FSA announces annual funding requirement for 2010/11 |
| 12 February |
Consultation paper |
Regulatory fees and levies - Rates proposals 2010/11 and feedback statement on Part 1 of CP09/26 |
| 12 February |
Final notice |
Mehmet Sepil [PDF] |
| 12 February |
Final notice |
Murat Ozgul [PDF] |
| 12 February |
Final notice |
Levent Akca [PDF] |
| 12 February |
Speech by Thomas Huertas |
Living Wills: How Can the Concept be Implemented? |
| 9 February |
Final notice |
Mr Kevin Byrne [PDF] |
| 9 February |
Final notice |
Forest Financial Services Limited [PDF] |
| 9 February |
Miscellaneous |
Market-wide Exercise 2009 Report Published |
| 9 February |
Statement |
FSA chief executive officer to step down in the summer |
| 9 February |
Final notice |
Omodeleola Kehinde Okenla trading as M & D Property Services [PDF] |
| 5 February |
Press release |
Director banned by FSA for Client Money failings |
| 4 February |
Press release |
FSA bans West London mortgage broker for submitting fraudulent applications |
| 3 February |
Press release |
FSA bans hedge fund manager and fines him £140,000 for 'mis-marking' |
| 1 February |
Final notice |
Matthew Sixsmith [PDF] |
| 1 February |
Final notice |
Bridgewater House UK Limited [PDF] |
| 1 February |
Final notice |
Simon Treacher [PDF] |
| 1 February |
Corporate |
Memorandum of Understanding between the Bank of England and the Financial Services Authority regarding the oversight of payment systems [PDF] |
| 1 February |
Press release |
SEC and UK FSA Hold Fifth Meeting of the SEC-FSA Strategic Dialogue |
| 1 February |
Statement |
Further update on Keydata Investment Services Limited |
| 1 February |
Press release |
FSA targets small cap sales practices |
| 1 February |
Press release |
FSA and Police launch 'Operation WARN' to prevent thousands of people from becoming victims of share fraud |
| 29 January |
First supervisory notice |
Edinburgh Hackney Cab Trade Credit Union Limited |
| 29 January |
Final notice |
Falcon Securities (UK) Limited [PDF] |
| 29 January |
Statement |
Update on The Freedom SIPP Limited – In Liquidation |
| 29 January |
Press release |
FSA confirms plan for publishing information on firms’ complaints handling |
| 29 January |
Policy Statement |
PS10/1: Publication of Complaints Data including Feedback to CP09/21 |
| 29 January |
Press release |
Three arrested in FSA insider dealing investigation |
| 29 January |
Press release |
FSA introduces further protections for sale and rent back customers |
| 29 January |
Consultation paper |
Sale and rent back (full regime) - Feedback on CP09/22, made rules and consultation on reporting |
| 28 January |
Press release |
FSA outlines latest steps to address corporate governance at firms |
| 28 January |
Consultation paper |
CP10/3: Effective corporate governance (Significant influence controlled functions and the Walker review) |
| 27 January |
Miscellaneous |
ICAAP submissions – observations for Limited Licence Investment Firms [PDF] |
| 27 January |
Press release |
Derbyshire firm and its two partners fined a total of £49,000 |
| 27 January |
Final notice |
Leslie Lugsden [PDF] |
| 27 January |
Final notice |
Sett Valley Insurance Services [PDF] |
| 27 January |
Final notice |
John Hargreaves [PDF] |
| 26 January |
Final notice |
Derek Silk trading as Silk Insurance Brokers [PDF] |
| 26 January |
Press release |
FSA sets out new steps to ensure that borrowers in arrears are treated fairly and to reduce levels of mortgage fraud |
| 26 January |
Consultation paper |
CP10/2: Mortgage Market Review - Arrears and Approved Persons |
| 25 January |
Speech by Dan Waters |
Asset management regulatory trends and priorities in the post-crisis environment: an update from the FSA |
| 25 January |
Final notice |
Edward Adejumo trading as Maxim Finance [PDF] |
| 25 January |
Final notice |
Gregory Lagan trading Gregory Lagan Motors [PDF] |
| 25 January |
Final notice |
The Mortgage Times Group Limited [PDF] |
| 22 January |
Final notice |
Brian McGee trading as Brian McGee Investments and Pensions [PDF] |
| 21 January |
Final notice |
Eamon McCourt trading as McCourt Financial Management [PDF] |
| 21 January |
Final notice |
Joseph Michael Carter trading as Mike Carter & Company [PDF] |
| 21 January |
Final notice |
Michael John Harvey trading as Michael Harvey and Associates [PDF] |
| 21 January |
Miscellaneous |
Factsheet: Climate change thematic review:
flooding – do your customers know
what they are covered for? [PDF] |
| 21 January |
Final notice |
Executive Investments Plc [PDF] |
| 21 January |
Press release |
FSA outlines concerns about firms’ handling of clients’ money and assets |
| 21 January |
Report |
Client Money & Asset report [PDF] |
| 21 January |
Dear CEO letter |
Client Money & Asset report [PDF] |
| 21 January |
Press release |
FSA Chairman calls for close engagement between accounting standard setters and prudential regulators of banks |
| 21 January |
Speech by Adair Turner |
Banks are different: should accounting reflect that fact? |
| 20 January |
Final notice |
Andrew Emelife trading as Loans4Assets.com [PDF] |
| 20 January |
Final notice |
Andrew Emelife [PDF] |
| 20 January |
Final notice |
John Wood trading as Ruskin Associates [PDF] |
| 20 January |
Press release |
FSA fines Standard Life £2.45m for serious systems and controls failures |
| 20 January |
Final notice |
Standard Life Assurance Limited [PDF] |
| 20 January |
Press release |
FSA fines and bans Bolton mortgage broker for failing to act with competence and capability |
| 20 January |
Final notice |
Finance.com Limited trading as UK Mortgages and Loans [PDF] |
| 20 January |
Final notice |
Riaz Ahmad [PDF] |
| 19 January |
Press release |
Insurance fraudster banned by FSA for deceiving customers out of almost £400k |
| 18 January |
Speech by Thomas Huertas |
Improving bank capital structures |
| 18 January |
Press release |
FSA removes director's approval to hold senior positions for two years |
| 15 January |
Final notice |
Mr Roger Murray Collins [PDF] |
| 14 January |
Press release |
FSA bans insurance broker for failing in his duties as a director |
| 13 January |
Final notice |
Wilmot Financial Solutions Limited [PDF] |
| 13 January |
Dear CEO letter |
FSA requirements on your firm’s liquidity risk management [PDF] |
| 12 January |
Final notice |
NFS Yorkshire Limited [PDF] |
| 12 January |
Press release |
FSA takes action against London mortgage broker for lack of openness and co-operation with the regulator |
| 12 January |
Final notice |
Olayinka Oladipupo [PDF] |
| 12 January |
Final notice |
Trinity Network Services Limited [PDF] |
| 11 January |
Press release |
Research analyst and spread better friend committed market abuse, says Tribunal |
| 8 January |
Final notice |
Mr Mark Hazelwood [PDF] |
| 8 January |
Final notice |
Synergys Ethical Limited [PDF] |
| 7 January |
Press release |
FSA fines Northern Ireland mortgage firm for failing to prevent fraud and bans one of its partners |
| 6 January |
Consultation paper |
CP10/1: Quarterly consultation (No.23) |
| 6 January |
Press release |
FSA starts criminal proceedings against former iSOFT directors |
| 5 January |
Final notice |
Mr Stephen Robert Allen [PDF] |
| 5 January |
Press release |
FSA appoints consumer senior advisor |
