| Date |
Ref |
Subject |
| 21 Dec 2011 |
FSA/PN/118/2011 |
FSA secures interim injunctions and freezing orders to protect consumers from unauthorised land banking firms |
| 19 Dec 2011 |
FSA/PN/116/2011 |
FSA puts common sense at the heart of mortgage lending |
| 19 Dec 2011 |
FSA/PN/117/2011 |
FSA fines Combined Insurance Company of America £2.8 million for putting its customers at risk of being treated unfairly |
| 16 Dec 2011 |
FSA/PN/115/2011 |
FSA bans and fines former UBS adviser £150,000 for not being fit and proper |
| 15 Dec 2011 |
FSA/PN/114/2011 |
Management consultant found guilty of insider dealing and sentenced to two years |
| 15 Dec 2011 |
FSA/PN/113/2011 |
FSA obtains another High Court decision to protect consumers from unauthorised land banking firms |
| 14 Dec 2011 |
FSA/PN/112/2011 |
FSA moves to raise consumer awareness of deposit protection |
| 13 Dec 2011 |
FSA/PN/111/2011 |
FSA appoints John Spence as non-executive director of the Money Advice Service |
| 12 Dec 2011 |
FSA/PN/110/2011 |
FSA Board publishes report into the failure of the Royal Bank of Scotland |
| 09 Dec 2011 |
FSA/PN/108/2011 |
FSA publishes the policy statement on the review of the covered bond regime |
| 09 Dec 2011 |
FSA/PN/109/2011 |
FSA and HM Treasury confirm rules on the transfer of regulatory responsibility for credit unions in Northern Ireland |
| 08 Dec 2011 |
FSA/PN/107/2011 |
FSA fines Integrated Financial Arrangements plc £3.5m for client money breaches |
| 07 Dec 2011 |
FSA/PN/106/2011 |
FSA sets out its expectations of non-executive directors in managing risks to retail customers |
| 05 Dec 2011 |
FSA/PN/105/2011 |
FSA fines HSBC £10.5million for mis-selling products to elderly customers |
| 02 Dec 2011 |
FSA/PN/104/2011 |
FSA appoints Paul Stockton as non-executive director of the FSCS |
| 29 Nov 2011 |
FSA/PN/103/2011 |
Court of Appeal upholds High Court decision to wind up firms offering satellite warranties, following FSA intervention |
| 28 Nov 2011 |
FSA/PN/102/2011 |
FSA warns against 'toxic' traded life policy investments |
| 23 Nov 2011 |
FSA/PN/101/2011 |
Two arrests made in FSA investigation into unauthorised financial advisors |
| 23 Nov 2011 |
FSA/PN/100/2011 |
FSA appoints Sir Nicholas Montagu as chairman of the Financial Ombudsman Service |
| 22 Nov 2011 |
FSA/PN/099/2011 |
FSA fines and bans hedge fund Compliance officer £14,000 for failing to act with due skill, care and diligence |
| 17 Nov 2011 |
FSA/PN/098/2011 |
FSA bans broker for insurance fraud and fines him £195,117 |
| 16 Nov 2011 |
FSA/PN/097/2011 |
Arrests made in FSA land banking investigation |
| 15 Nov 2011 |
FSA/PN/096/2011 |
FSA fines McInroy & Wood Limited for client money breaches |
| 09 Nov 2011 |
FSA/PN/095/2011 |
FSA proposes rules to protect unit-linked policyholders |
| 09 Nov 2011 |
FSA/PN/094/2011 |
FSA fines Dubai based investor US$ 9.6 million for market abuse |
| 08 Nov 2011 |
FSA/PN/093/2011 |
Coutts fined £6.3m for failings relating to its sale of an AIG fund |
| 04 Nov 2011 |
FSA/PN/092/2011 |
FSA appoints new communications director |
| 02 Nov 2011 |
FSA/PN/091/2011 |
FSA publishes review of firms' structured product design processes and proposes new guidance on retail product development |
| 01 Nov 2011 |
FSA/PN/090/2011 |
FSA and OFT publish draft guidance on payment protection products |
| 31 Oct 2011 |
FSA/PN/089/2011 |
MF Global UK enters Special Administration Regime |
| 27 Oct 2011 |
FSA/PN/088/2011 |
FSA increases customer protection in packaged account market |
| 25 Oct 2011 |
FSA/PN/087/2011 |
FSA fines Credit Suisse UK £5.95 million for systems and control failings |
| 20 Oct 2011 |
FSA/PN/086/2011 |
The Mansion House City Banquet speech |
| 14 Oct 2011 |
FSA/PN/085/2011 |
FSA and SEC host roundtable discussion on market structures |
| 13 Oct 2011 |
FSA/PN/084/2011 |
FSA and SEC hold Strategic Dialogue Meeting |
| 30 Sep 2011 |
FSA/PN/083/2011 |
Credit creation and social optimality - a speech by Lord Turner |
| 29 Sep 2011 |
FSA/PN/082/2011 |
FSA fines Towry Investment Management Ltd £494,900 for providing incorrect information to the FSA and client money failures |
| 23 Sep 2011 |
FSA/PN/081/2011 |
FSA confirms Norwich & Peterborough Building Society merger with the Yorkshire Building Society |
| 15 Sep 2011 |
FSA/PN/080/2011 |
FSA fines Rockingham Independent Limited £35,000 and bans two directors and an adviser from selling complicated investments |
| 08 Sep 2011 |
FSA/PN/079/2011 |
Swift 1st Limited fined over mortgage arrears failings and will pay an estimated £2.35 million in customer redress |
| 02 Sep 2011 |
FSA/PN/078/2011 |
Tribunal directs FSA to publicly censure trader for market abuse |
| 01 Sep 2011 |
FSA/PN/077/2011 |
FSA obtains High Court injunction to stop market manipulation |
| 31 Aug 2011 |
FSA/PN/075/2011 |
FSA decides to fine firm £8m for market abuse |
| 31 Aug 2011 |
FSA/PN/076/2011 |
FSA and HM Treasury publish joint consultation paper on the transfer of regulatory responsibility for credit unions in Northern Ireland |
| 30 Aug 2011 |
FSA/PN/074/2011 |
FSA publishes amount of redress paid to PPI complainants in first half of 2011 |
| 22 Aug 2011 |
FSA/PN/073/2011 |
Three sentenced to jail for operating £27.5m boiler room scam |
| 16 Aug 2011 |
FSA/PN/072/2011 |
FSA fines Sir Ken Morrison £210,000 for Disclosure and Transparency Rules failings |
| 15 Aug 2011 |
FSA/PN/071/2011 |
Tribunal upholds FSA decision to ban and fine hedge fund CEO and CFO £2.1m for deceiving investors and market abuse |
| 09 Aug 2011 |
FSA/PN/070/2011 |
FSA publishes Recovery and Resolution Plans consultation |
| 04 Aug 2011 |
FSA/PN/069/2011 |
Investment banker and two associates charged with insider dealing |
| 02 Aug 2011 |
FSA/PN/068/2011 |
FSA enters into an agreement to sell TRS to the London Stock Exchange |
| 01 Aug 2011 |
FSA/PN/067/2011 |
FSA publishes new rules for platforms |
| 21 Jul 2011 |
FSA/PN/066/2011 |
FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings |
| 20 Jul 2011 |
FSA/PN/065/2011 |
FSA takes action against directors of IFA firm for recommending unsuitable investments |
| 12 Jul 2011 |
FSA/PN/064/2011 |
FSA fines two former directors of Alpha to Omega IFA network |
| 05 Jul 2011 |
FSA/PN/063/2011 |
FSA bans two insurance brokers for misconduct |
| 29 Jun 2011 |
FSA/PN/062/2011 |
FSA continues its crackdown on land banking with another High Court decision protecting consumers |
| 28 Jun 2011 |
FSA/PN/060/2011 |
One arrested as FSA continues clamp down on unauthorised business |
| 28 Jun 2011 |
FSA/PN/061/2011 |
Financial Services Authority hosts conference to launch debate about the future of conduct regulation |
| 27 Jun 2011 |
FSA/PN/059/2011 |
FSA launches FCA approach document |
| 24 Jun 2011 |
FSA/PN/058/2011 |
Financial Services Compensation Scheme Board appointments |
| 23 Jun 2011 |
FSA/PN/057/2011 |
FSA holds its Annual Public Meeting |
| 22 Jun 2011 |
FSA/PN/056/2011 |
Tracey McDermott addresses FSA Financial Crime Conference |
| 21 Jun 2011 |
FSA/PN/055/2011 |
FSA Announces £54 million Package for CF Arch cru investors |
| 20 Jun 2011 |
FSA/PN/054/2011 |
Prudential Regulation Authority: the future approach to insurance supervision |
| 14 Jun 2011 |
FSA/PN/051/2011 |
FSA secures its first criminal conviction for boiler room fraud. |
| 14 Jun 2011 |
FSA/PN/052/2011 |
FSA publishes Product Intervention feedback statement |
| 14 Jun 2011 |
FSA/PN/053/2011 |
FSA bans and fines self employed trader £700,000 for market abuse |
| 13 Jun 2011 |
FSA/PN/050/2011 |
FSA publishes Annual Report for the year 2010/11 |
| 13 Jun 2011 |
FSA/PN/049/2011 |
FSA grants temporary extension for some PPI complaints |
| 08 Jun 2011 |
FSA/PN/048/2011 |
FSA winds up one unauthorised land bank and secures a world-wide injunction against another |
| 01 Jun 2011 |
FSA/PN/047/2011 |
FSA censures BDO LLP for failings as a sponsor |
| 27 May 2011 |
FSA/PN/046/2011 |
FSA confirms new consumer complaint handling rules and an increase to the Financial Ombudsman award limit to £150,000 |
| 25 May 2011 |
FSA/PN/045/2011 |
FSA fines Bank of Scotland £3.5 million for complaint handling failures and secures £17 million compensation for customers |
| 24 May 2011 |
FSA/PN/044/2011 |
FSA fines individual £1m and secures first final High Court injunction to prevent market abuse |
| 19 May 2011 |
FSA/PN/043/2011 |
Prudential Regulation Authority: the future approach to banking supervision |
| 12 May 2011 |
FSA/PN/042/2011 |
Two FSA decision notices referred to the Tribunal |
| 09 May 2011 |
FSA/PN/041/2011 |
FSA welcomes the BBA and Nemo's decision to accept the High Court's PPI judgment |
| 05 May 2011 |
FSA/PN/040/2011 |
FSA welcomes announcement of independent reviewers for RBS report |
| 20 Apr 2011 |
FSA/PN/039/2011 |
FSA welcomes the High Court's dismissal of the BBA's judicial review of new PPI complaints handling measures |
| 19 Apr 2011 |
FSA/PN/038/2011 |
FSA bans four more brokers for mortgage fraud as the Tribunal dismisses broker’s appeal |
| 18 Apr 2011 |
FSA/PN/037/2011 |
FSA fines N&P £1.4 million and agrees £50 million for customers and FSCS |
| 14 Apr 2011 |
FSA/PN/036/2011 |
FSA takes action against two firms of IFAs over the promotion of complex investment products |
| 06 Apr 2011 |
FSA/PN/035/2011 |
FSA and HM Treasury publish joint consultation paper on covered bond regulation |
| 25 Mar 2011 |
FSA/PN/034/2011 |
FSA confirms final rules for auditors’ client assets reports |
| 22 Mar 2011 |
FSA/PN/033/2011 |
FSA publishes Business Plan for 2011/12 |
| 17 Mar 2011 |
FSA/PN/032/2011 |
FSA publishes its Prudential Risk Outlook |
| 16 Mar 2011 |
FSA/PN/031/2011 |
FSA chairman spells out regulatory challenges beyond Basel III |
| 15 Mar 2011 |
FSA/PN/030/2011 |
FSA fines ActivTrades Plc £85,750 for client money failings |
| 10 Mar 2011 |
FSA/PN/029/2011 |
FSA announces a new senior advisor |
| 10 Mar 2011 |
FSA/PN/028/2011 |
FSA and FRC publish feedback on the role of auditors |
| 28 Feb 2011 |
FSA/PN/027/2011 |
FSA publishes first Retail Conduct Risk Outlook |
| 24 Feb 2011 |
FSA/PN/026/2011 |
FSA consults on improving protection for with-profits policyholders |
| 22 Feb 2011 |
FSA/PN/025/2011 |
FSA fines DB Mortgages for irresponsible lending and poor treatment of customers in arrears |
| 16 Feb 2011 |
FSA/PN/024/2011 |
Pension switching firms in Barnsley and Milton Keynes fined by the FSA |
| 10 Feb 2011 |
FSA/PN/023/2011 |
FSA and Bank of England announce new draft code of practice for auditors and supervisors |
| 09 Feb 2011 |
FSA/PN/022/2011 |
Former City worker banned for performing a significant influence function without FSA approval |
| 07 Feb 2011 |
FSA/PN/021/2011 |
FSA bans and fines corporate finance advisor £150,000 for market abuse |
| 02 Feb 2011 |
FSA/PN/019/2011 |
Management consultant appears in Court charged with insider dealing |
| 02 Feb 2011 |
FSA/PN/018/2011 |
Investment banker, his wife and family friend sentenced for insider dealing |
| 02 Feb 2011 |
FSA/PN/020/2011 |
FSA appoints Martin Wheatley as managing director, consumer and markets business unit |
| 01 Feb 2011 |
FSA/PN/017/2011 |
FSA announces annual funding requirement for 2011/12 |
| 28 Jan 2011 |
FSA/PN/016/2011 |
Francois de Dietrich sentenced to 18 months imprisonment for failure to comply with Court Order and to cooperate with FSA investigation |
| 26 Jan 2011 |
FSA/PN/015/2011 |
JJB Sports PLC fined £455,000 for failing to disclose information to the market |
| 26 Jan 2011 |
FSA/PN/014/2011 |
FSA levies £1.12m fine on Barclays Capital for client money breaches |
| 25 Jan 2011 |
FSA/PN/011/2011 |
FSA opens public debate on product intervention |
| 25 Jan 2011 |
FSA/PN/013/2011 |
FSA confirms transfer of business of Kent Reliance Building Society to OneSavings plc |
| 25 Jan 2011 |
FSA/PN/012/2011 |
FSA bans five individuals and fines one, bringing the total number of mortgage intermediary prohibitions to 101 |
| 21 Jan 2011 |
FSA/PN/010/2011 |
Former senior manager sentenced to 27 months in prison for insider dealing and money laundering |
| 20 Jan 2011 |
FSA/PN/009/2011 |
FSA fines spread bet broker £490,000 for transaction reporting failures |
| 20 Jan 2011 |
FSA/PN/008/2011 |
FSA confirms professional standards for investment advisers from 2013 |
| 19 Jan 2011 |
FSA/PN/007/2011 |
FSA fines and bans two partners of Clark Rees LLP £28,000 for advice failings in relation to Unregulated Collective Investment Schemes (UCIS) |
| 18 Jan 2011 |
FSA/PN/006/2011 |
FSA fines Barclays £7.7 million for investment advice failings and secures as much as £60 million in redress for customers |
| 17 Jan 2011 |
FSA/PN/005/2011 |
FSA and FRC extend co-operation and information exchange on audit issues |
| 13 Jan 2011 |
FSA/PN/004/2011 |
Former analyst fined £50,000 for disclosing misleading information |
| 11 Jan 2011 |
FSA/PN/003/2011 |
FSA fines RBS and NatWest £2.8m for poor complaint handling |
| 10 Jan 2011 |
FSA/PN/002/2011 |
Investment banker, his wife and family friend plead guilty to insider dealing |
| 06 Jan 2011 |
FSA/PN/001/2011 |
Director fined and banned over £2 million insurance fraud |
