| Date |
Ref |
Subject |
| 21 May 2012 |
FSA/PN/057/2012 |
Tribunal upholds FSA decision to ban and fine former UBS advisers £1.3m for not being fit and proper in relation to an unauthorised trading scheme |
| 16 May 2012 |
FSA/PN/056/2012 |
FSA decides to ban BGC senior executive Anthony Verrier |
| 15 May 2012 |
FSA/PN/055/2012 |
FSA fines Habib Bank AG Zurich £525,000 and money laundering reporting officer £17,500 for anti-money laundering control failings |
| 11 May 2012 |
FSA/PN/054/2012 |
FSA fines and bans Scottish broker £335,204 for insurance fraud and bans and censures his wife |
| 10 May 2012 |
FSA/PN/053/2012 |
FSA fines Martin Currie £3.5 million for failing to manage a conflict of interests between clients |
| 10 May 2012 |
FSA/PN/052/2012 |
FSA publishes Recovery and Resolution Plan (RRP) update |
| 10 May 2012 |
FSA/PN/051/2012 |
Martin Wheatley addresses the Building Societies Association’s Annual Conference |
| 08 May 2012 |
FSA/PN/049/2012 |
FSA bans executive chairman of wholesale insurer and imposes fines of almost £3.5million on the firm |
| 08 May 2012 |
FSA/PN/050/2012 |
Insider dealer ordered to pay £570,000 in confiscation |
| 04 May 2012 |
FSA/PN/048/2012 |
Rebuilding trust and confidence |
| 03 May 2012 |
FSA/PN/047/2012 |
FSA fines car supermarket for PPI sales monitoring failings |
| 01 May 2012 |
FSA/PN/046/2012 |
FSA fines Christchurch Investment Management Limited and compliance officer for client money breaches |
| 30 Apr 2012 |
FSA/PN/044/2012 |
FSA launches redress scheme consultation for Arch cru investors |
| 30 Apr 2012 |
FSA/PN/045/2012 |
FSA secures four and a half year jail sentence for man convicted of laundering boiler room funds |
| 27 Apr 2012 |
FSA/PN/043/2012 |
FSA publishes new rules to ensure pension transfers are suitable for scheme members |
| 26 Apr 2012 |
FSA/PN/042/2012 |
Exillon Energy plc fined £292,950 for listing rule breaches |
| 25 Apr 2012 |
FSA/PN/041/2012 |
FSA confirms traded life policy investments should not generally be promoted to UK investors |
| 24 Apr 2012 |
FSA/PN/039/2012 |
FSA contacts more than 75,000 people to warn them they are being targeted by financial conmen |
| 24 Apr 2012 |
FSA/PN/040/2012 |
Delivering effective corporate governance: the financial regulator’s role |
| 17 Apr 2012 |
FSA/PN/038/2012 |
FSA statistics show boiler room fraudsters are making greater efforts to con consumers - but having less success |
| 03 Apr 2012 |
FSA/PN/036/2012 |
FSA decides to fine Ian Hannam Chairman of Capital Markets at J P Morgan Cazenove for market abuse |
| 03 Apr 2012 |
FSA/PN/037/2012 |
One arrested as FSA continues to clamp down on unauthorised business |
| 29 Mar 2012 |
FSA/PN/035/2012 |
FSA review into anti-bribery and corruption systems and controls in investment banks and proposed new guidance for all firms |
| 28 Mar 2012 |
FSA/PN/034/2012 |
FSA bans and fines directors a total of £600,000 for publishing misleading information about Cattles plc |
| 26 Mar 2012 |
FSA/PN/032/2012 |
Coutts fined £8.75 million for anti-money laundering control failings |
| 26 Mar 2012 |
FSA/PN/033/2012 |
FSA publicly censures two Glasgow credit unions |
| 22 Mar 2012 |
FSA/PN/031/2012 |
FSA publishes Business Plan for 2012/13 |
| 21 Mar 2012 |
FSA/PN/030/2012 |
FSA secures £32 million High Court judgment against three land banks but victims are unlikely to get their money back |
| 18 Mar 2012 |
FSA/PN/029/2012 |
WorldSpreads Limited enters Special Administration Regime |
| 16 Mar 2012 |
FSA/PN/028/2012 |
FSA chief executive to leave organisation at the end of June |
| 14 Mar 2012 |
FSA/PN/027/2012 |
Shadow Banking and Financial Instability: Lord Turner speech to the CASS Business School |
| 13 Mar 2012 |
FSA/PN/025/2012 |
FSA publishes an analysis of the main risks facing consumers |
| 13 Mar 2012 |
FSA/PN/026/2012 |
Head of European Credit Sales at Credit Suisse fined £210,000 for improper market conduct, disclosing client confidential information and exhibiting a lack of skill, care and diligence |
| 09 Mar 2012 |
FSA/PN/024/2012 |
FSA publishes censure against Bank of Scotland plc in respect of failings within its Corporate Division between January 2006 and December 2008 |
| 09 Mar 2012 |
FSA/PN/023/2012 |
Pritchard Stockbrokers Ltd enters Special Administration Regime |
| 08 Mar 2012 |
FSA/PN/022/2012 |
FSA bans and fines former Royal Liver Assurance FD George McGregor £109,000 |
| 06 Mar 2012 |
FSA/PN/021/2012 |
FSA publishes guidance consultation to help firms provide redress to victims of PPI mis-selling |
| 01 Mar 2012 |
FSA/PN/020/2012 |
Three arrested in FSA insider dealing investigation |
| 28 Feb 2012 |
FSA/PN/019/2012 |
FSA publishes proposals to change the way pension transfer values are calculated |
| 21 Feb 2012 |
FSA/PN/018/2012 |
FSA obtains interim injunction to halt unauthorised deposit-taker |
| 20 Feb 2012 |
FSA/PN/017/2012 |
Santander fined £1.5 million for failing to clarify FSCS cover on structured products |
| 17 Feb 2012 |
FSA/PN/016/2012 |
FSA secures €77,000 for victims of boiler room fraud |
| 16 Feb 2012 |
FSA/PN/014/2012 |
Former corporate broker at Merrill Lynch fined £350,000 for disclosing inside information |
| 16 Feb 2012 |
FSA/PN/015/2012 |
Further arrest in FSA and SOCA insider dealing investigation |
| 15 Feb 2012 |
FSA/PN/013/2012 |
FSA managing director, Margaret Cole, to leave this year |
| 06 Feb 2012 |
FSA/PN/012/2012 |
Delivering a twin peaks regulatory model within the FSA |
| 03 Feb 2012 |
FSA/PN/011/2012 |
FSA review into sale and rent back finds widespread poor practice and sees market temporarily closed |
| 02 Feb 2012 |
FSA/PN/010/2012 |
FSA announces annual funding requirement for 2012/13 |
| 31 Jan 2012 |
FSA/PN/009/2012 |
FSA bans and fines former JC Flowers UK CEO Ravi Sinha £2.86m for fraudulent invoicing scheme |
| 30 Jan 2012 |
FSA/PN/008/2012 |
FSA announces a new investment banking senior advisor |
| 27 Jan 2012 |
FSA/PN/007/2012 |
Former compliance officer at Greenlight Capital and JP Morgan Cazenove trader fined |
| 26 Jan 2012 |
FSA/PN/006/2012 |
FSA consults on changes to the Listing Rules |
| 25 Jan 2012 |
FSA/PN/005/2012 |
David Einhorn and Greenlight Capital Inc fined £7.2m for trading on inside information in Punch Taverns Plc. |
| 25 Jan 2012 |
FSA/PN/004/2012 |
New orthodoxy for conduct regulation - fair deal for consumers |
| 18 Jan 2012 |
FSA/PN/003/2012 |
FSA imposes £2.17 million fine for failure by Direct Line and Churchill to conduct their businesses with due skill, care and diligence |
| 11 Jan 2012 |
FSA/PN/002/2012 |
Richard Joseph charged with insider dealing |
| 09 Jan 2012 |
FSA/PN/001/2012 |
FSA appoints new Board Chairman for Financial Services Compensation Scheme |
