Sitemap - CCL Compliance Consultants

[24/07/2008] FSA fines PMSG Insurance Services Ltd GBP35,000 and withdraws approval for its compliance officer for mortgage advice breaches
[24/07/2008] FSA welcomes Government proposals on credit unions and announces plans to toughen regulatory policy
[21/07/2008] FSA grants new waiver to firms on complaints handling
[21/07/2008] FSA imposes public censure on Mandrake Associates and prohibits director for failings in mortgage endowment complaints handling
[21/07/2008] Financial Services Authority to consult on changes to the Disclosure and Transparency Rules
[18/07/2008] FSA calls Money Guidance 'summit'
[16/07/2008] FSA bans mortgage partners for serious regulatory failures
[15/07/2008] FSA fines a mortgage firm GBP11,900 and bans adviser in relation to false mortgage applications
[10/07/2008] Former broker banned and fined GBP16,000 for dishonesty and using high pressure sales tactics
[09/07/2008] FSA bans and fines mortgage broker for serious regulatory failures
[08/07/2008] Companies urged to help protect shareholders from 'boiler room' scams
[07/07/2008] FSA bans and fines mortgage broker GBP129,000 for involvement in mortgage fraud
[07/07/2008] New help for people managing money worries
[02/07/2008] Contracts for Difference Policy Update
[01/07/2008] FSA fines IT professional GBP85,000 for market abuse
[30/06/2008] Firms urged to intensify efforts to meet December deadline to consistently treat customers fairly
[30/06/2008] FSA publishes Annual Report for 2007/08
[26/06/2008] FSA bankrupts 'boiler room' accomplice
[23/06/2008] FSA launches payment protection insurance comparison tables
[17/06/2008] Stockbroking firm fined GBP77,000 for weak data security controls
[13/06/2008] Financial Services Authority introduces disclosure regime for significant short positions in companies undertaking rights issues
[12/06/2008] Woolworths fined GBP350,000 for Disclosure Rule and Listing Principle breaches
[10/06/2008] FSA fines Chepstow mortgage broker for failures relating to self certification mortgages
[05/06/2008] Update on the thematic review of controls over inside information
[04/06/2008] Three senior advisors from industry join FSA
[04/06/2008] FSA seeks to close down UK's largest illegal 'landbanking' scheme
[03/06/2008] FSA launches 'can do' money website inspired by young adults for young adults
[03/06/2008] FSA consults on change to with-profits rules
[02/06/2008] FSA publishes final regulatory fees and levies for 2008/09
[30/05/2008] Financial Services Compensation Scheme Board appointments
[29/05/2008] New FSA travel insurance regulation will protect consumers
[27/05/2008] FSA launches debate on increasing transparency in regulation
[27/05/2008] FSA publishes industry feedback on liquidity requirements
[23/05/2008] New Financial Services Consumer Panel Chairman appointed
[22/05/2008] Mortgage broker censured for financial promotions and sales-related failings
[22/05/2008] FSA fines three mortgage brokers for poor mortgage sales procedures
[21/05/2008] FSA fines insurance firm GBP640,000 for call centre failings
[15/05/2008] FSA fines Thinc Group GBP900,000 for sub-prime record keeping failings
[12/05/2008] FSA fines Land of Leather and its Chief Executive for PPI failings
[08/05/2008] FSA calls for all insurance comparison websites to provide consumers with clear, fair and not misleading information
[07/05/2008] Hector Sants speaks at the Building Societies Association Annual Conference
[29/04/2008] FSA publishes Market Watch 26
[29/04/2008] FSA publishes an RDR Interim Report and feedback on the review of personal investment firms' prudential requirements
[24/04/2008] Do more to protect customers' personal details, warns FSA
[23/04/2008] Naguib Kheraj to advise FSA
[09/04/2008] Third party administrator fined GBP525,000 for customer document failings
[02/04/2008] FSA fines stockbroker GBP122,500 for poor sales practices
[31/03/2008] FSA confirms principles-based approach to platforms
[31/03/2008] Mortgage review findings will help shape future of FSA regime
[26/03/2008] FSA moves to enhance supervision in wake of Northern Rock
[20/03/2008] FSA publishes discussion paper on information transparency in the commercial insurance market
[19/03/2008] Management changes at the FSA
[19/03/2008] FSA fines firm for inadequate capital and for providing misleading information
[19/03/2008] FSA warns on market abuse
[14/03/2008] FSA suspends registration of Ethnic Mutual Ltd
[11/03/2008] FSA publishes commentary on systems and controls, in light of the Societe Generale 'rogue trader'
[10/03/2008] FSA appoints two new Directors
[06/03/2008] FSA launches consultation on the sponsor regime
[06/03/2008] FSA helps investors get GBP1million back from boiler rooms
[03/03/2008] FSA publishes new rules on telephone recording
[03/03/2008] FSA campaign to help homeowners worried about meeting their mortgage repayments
[03/03/2008] FSA to lead 'pathfinder project' delivering a national money guidance service
[27/02/2008] Hector Sants underlines commitment to risk-based regulation
[26/02/2008] FSA appoints Alexander Justham as Director of Markets
[22/02/2008] Further progress on access for retail customers to alternative investments
[19/02/2008] FSA proposes further simplification of investment advice disclosure
[13/02/2008] 'Fake' Stockbroker sentenced to 15 months.
[11/02/2008] FSA bans broker and fines him GBP21,000 for dishonesty and misleading customers
[06/02/2008] Financial Services Authority publishes its 2008/9 Business Plan
[29/01/2008] FSA publishes its 2008 Financial Risk Outlook
[22/01/2008] Insider Dealing: Two appear at City of London Magistrates' Court
[22/01/2008] FSA's enhanced strategy for small firms begins
[21/01/2008] Northern Rock
[16/01/2008] FSA fines HFC Bank GBP1.085 million for PPI failings
[14/01/2008] FSA publishes a review of the structure of the Listing Regime
[14/01/2008] FSA fines stockbroker GBP250,000 for using high pressure sales tactics
[10/01/2008] FSA appoints Sally Dewar as Managing Director, Wholesale
[28/12/2007] FSA survey finds people too scared to open their post-Christmas bills
[19/12/2007] FSA publishes a review of the liquidity requirements for banks and building societies
[19/12/2007] FSA imposes a public censure on PB Roberts Limited
[18/12/2007] New FSA travel insurance regime will protect consumers
[18/12/2007] FSA cuts back on detailed insurance selling rules but tightens up where customers are not being treated fairly
[17/12/2007] FSA fines Norwich Union Life GBP1.26m for exposing its customers to the risk of fraud
[17/12/2007] FSA bans pet insurance broker
[14/12/2007] FSA bans four individuals for dishonest behaviour in the reinsurance market
[14/12/2007] FSA and CONSOB sign regulatory cooperation agreement
[14/12/2007] FSA bans former Chief Executive of Insurance broker
[10/12/2007] FSA announces further work on commission disclosure and the commercial insurance market
[04/12/2007] FSA announces RDR timetable
[04/12/2007] FSA calls on lenders to protect themselves against a possible worsening of liquidity and credit risks
[03/12/2007] Firms must do more to ensure their Appointed Representatives treat customers fairly
[28/11/2007] FSA encourages growth of Islamic finance in the UK
[28/11/2007] FSA calls for all firms to ensure their promotional websites are fair, clear and not misleading
[26/11/2007] FSA will work with industry to improve mortgage advice - and clamp down on brokers unwilling to change
[21/11/2007] FSA publishes review of 'waiver' on the handling of complaints in relation to unauthorised overdraft charges
[19/11/2007] FSA fines two firms and bans a third for sub-prime failings
[16/11/2007] FSA fines Toronto Dominion Bank (London branch) GBP490,000 for systems and controls failings and bans Mr Simon Richard Brignall from carrying out regulated activities
[14/11/2007] FSA update on funds of alternative investment funds
[13/11/2007] Reformed funding model for Financial Services Compensation Scheme to operate from next year
[12/11/2007] FSA proposes greater disclosure of 'Contracts for Difference'
[06/11/2007] Financial Services Authority calls for renewed energy to deliver Treating Customers Fairly
[02/11/2007] Two men arrested in FSA's first criminal investigation on boiler rooms
[01/11/2007] FSA's new investment rules come into force
[31/10/2007] FSA fines stockbroker for poor risk warnings and advice
[18/10/2007] FSA fines mortgage firm for lifetime mortgage selling failures
[05/10/2007] Eligible Assets Directive implementation provides clarification for UCITS managers
[03/10/2007] Chris Pond appointed as Director of Financial Capability for the FSA
[02/10/2007] New measures to help small firms from FSA
[01/10/2007] Compensation Scheme to cover 100% of depositors' claims up to GBP35,000
[28/09/2007] FSA launches a more principles-based regime for unit-linked investments
[27/09/2007] FSA tells firms to ensure proper management of with-profits funds
[26/09/2007] FSA publishes latest findings on PPI
[25/09/2007] FSA shuts down UK based firms for assisting boiler rooms
[12/09/2007] University freshers should be smart about their money and get a check up with their university money doctor
[06/09/2007] FSA fines mortgage firm and its chief executive for re-mortgage and PPI selling failures
[04/09/2007] Industry Guidance key role in Principles-Based Regulation
[03/09/2007] New term for FSA's Independent Complaints Commissioner
[03/09/2007] Mortgage broker fined for financial promotion and sales-related failings
[01/08/2007] Two firms fined, one censured for management failings on mortgage advice
[01/08/2007] Mortgage exit administration fees (MEAFs): an update
[31/07/2007] FSA aims to streamline regulatory returns
[30/07/2007] FSA confirms decision to retain consumer protection measures in revised investment rules
[27/07/2007] FSA grants waiver to firms on complaints handling
[27/07/2007] New FSA Training and Competence regime will be simpler and more principles-based
[26/07/2007] FSA issues latest publications to support delivery of TCF initiative: Culture and Management Information
[26/07/2007] Financial Services Authority confirms Portman Building Society merger with the Nationwide Building Society
[16/07/2007] FSA issues Guidance on provider and distributor responsibilities
[13/07/2007] Hector Sants appointed FSA chief executive
[12/07/2007] Firms agree to change the way they sell PPI over the internet
[12/07/2007] Financial Services Compensation Scheme Board Appointment
[05/07/2007] FSA publishes a review of Personal Investment Firms' Prudential Requirements
[05/07/2007] FSA launches discussion on oversight of trading in MTF shares
[04/07/2007] FSA finds poor practice by intermediaries and lenders within sub-prime market
[02/07/2007] FSA publishes conclusions of M&A inside information review
[29/06/2007] FSA sets out a principles-based future for general insurance regulation
[29/06/2007] FSA publishes feedback and further consultation on Listing Review for Investment Entities
[21/06/2007] FSA publishes Annual Report for 2006/07
[20/06/2007] FSA appoints new Director of Retail Firms Division
[20/06/2007] FSA begins recruitment drive for university Money Doctors
[11/06/2007] FSA publishes feedback on private equity risks
[11/06/2007] FSA fines adviser firm 42,000 GBP for management and complaints handling failings
[07/06/2007] FSA bans illegal insurer from management for life
[31/05/2007] New investment business rules mark significant move to principles-based regulation
[31/05/2007] FSA publishes final regulatory fees and levies for 2007/08
[23/05/2007] Portman and Nationwide Building Societies: merger confirmation hearing
[22/05/2007] FSA finds significant improvement in home and motor insurance press advertising
[22/05/2007] FSA tells small retail firms they are on the regulatory radar
[21/05/2007] FSA concludes split capital investment trust investigation
[17/05/2007] FSA expects firms to do more to treat consumers with life insurance products fairly
[16/05/2007] FSA confirms Industry Guidance on outsourcing
[15/05/2007] FSA fines Charterhouse 122,500 GBP for unauthorised portfolio management
[10/05/2007] FSA fines BNPP Private Bank 350,000 GBP for weak anti-fraud controls
[09/05/2007] Contracting out of SERPS/S2P: FSA finds no widespread mis-selling
[08/05/2007] FSA announces progress made on TCF and sets further deadline
[01/05/2007] FSA prohibition action following failings in connection with pension transfers
[26/04/2007] Retail distribution review: Conference will update on progress
[25/04/2007] FSA tells firms to improve general insurance sales standards when cold calling
[23/04/2007] FSA sets out future of regulation
[19/04/2007] FSA fines Sesame 330,000 GBP for SCARPs complaints handling failures
[17/04/2007] FSA finds many small firms that employ compliance consultants are not acting on the advice they are given
[13/04/2007] FSA maintains a tough stance with small firms on minimum standards
[12/04/2007] FSA fines former finance director 30,000 GBP for principles breaches
[11/04/2007] Financial Ombudsman Service funding arrangements: Feedback Statement
[11/04/2007] FSA bans insurance broker for management failings
[10/04/2007] Mortgage Effectiveness Review: focusing on higher risk areas
[05/04/2007] All systems go for new home finance regulation
[04/04/2007] FSA updates on investment entities listing rules
[29/03/2007] Consumers to benefit from PPI refunds agreement
[29/03/2007] Solicitors made bankrupt for assisting boiler room
[28/03/2007] FSA frees up rules for unit-linked investments
[28/03/2007] FSA announces funding for three development workers for the Scottish Centre for Financial Education
[27/03/2007] Wider access for retail customers to alternative investments
[26/03/2007] Lone parent, carer and elderly groups to benefit from FSA's Innovation Fund
[26/03/2007] FSA publishes review of the commodities market
[21/03/2007] FSA moves towards a more principles-based and proportionate approach to general insurance regulation
[20/03/2007] FSA sets out reforms to funding of Compensation Scheme
[20/03/2007] FSA fines analyst for market misconduct
[14/03/2007] FSA supports IOSCO Principles for the valuation of Hedge Fund Portfolios
[13/03/2007] FSA tells general insurance intermediaries no excuse for failing to protect client money
[12/03/2007] FSA launches 2 million GBP campaign to help consumers get a grip on insurance
[07/03/2007] FSA publishes updated measure of UK market cleanliness
[06/03/2007] FSA tackles financial crime in the insurance industry
[28/02/2007] FSA simplifies training and competence rules for retail business
[27/02/2007] FSA acts to stop UK firm from assisting overseas boiler rooms
[26/02/2007] FSA imposes a public censure on Cathedral Motor Company Limited
[26/02/2007] Almost 70% of people shop around to get the best deals on new gadgets. But only 43% bother to compare deals on life insurance
[23/02/2007] 1 million GBP a year saving for firms in Approved Persons simplification
[22/02/2007] FSA fines investment firm 14,000 GBP for 'income withdrawal' failings
[16/02/2007] FSA acts to halt boiler room activities
[15/02/2007] FSA fines Capital One for PPI sales failures
[14/02/2007] FSA fines Nationwide 980,000 GBP for information security lapses
[06/02/2007] FSA Business Plan focuses on more principles-based regulation
[01/02/2007] FSA appoints new director
[31/01/2007] FSA urges firms to improve stress testing
[30/01/2007] New group to help the FSA to enhance the coherence of its retail regulation of savings agenda
[26/01/2007] FSA statement on mortgage exit administration fee increases
[26/01/2007] Deadline met for transposing MiFID rules
[26/01/2007] Financial Services Compensation Scheme Board appointments
[26/01/2007] FSA fines GE Capital Bank
[22/01/2007] New FSA team to crack down on financial crime
[18/01/2007] Retail Distribution Review: FSA announces members of industry groups
[18/01/2007] FSA fines W Deb MVL Plc (formerly Williams de Broe Plc) 560,000 GBP for breaches of FSA principles
[16/01/2007] 'Savings claims' in insurance advertising can mislead consumers warns FSA
[16/01/2007] John Tiner to step down as ceo in July 2007
[11/01/2007] Chairmen's Committee approve proposed combination involving Euronext N.V. and NYSE Group Inc.
[11/01/2007] FSA determined to see better practice in PPI sales
[08/01/2007] FSA says firms need to improve mortgage advice processes
[20/12/2006] FSA fines home shopping company 270,000 GBP for PPI selling failures
[20/12/2006] FSA imposes a public censure on Eastern Western Motor Group
[14/12/2006] FSA publishes further consultation on listing rules for investment entities
[13/12/2006] Consumers with interest-only mortgages need to have robust repayment plans, says FSA
[11/12/2006] Endowments: better outcomes for consumers but no room for complacency, says FSA
[08/12/2006] FSA fines mortgage firm 52,500 GBP for management failures
[05/12/2006] Statement on the proposed combination involving Euronext N.V. and NYSE Group Inc.
[05/12/2006] FSA acts to halt unauthorised deposit-taker
[30/11/2006] FSA response to Practitioner Panel report
[30/11/2006] Further progress needed by insurers on their management of risk
[29/11/2006] New director appointments at the FSA
[29/11/2006] Financial Services Authority confirms Universal Building Society merger with the Newcastle Building Society
[28/11/2006] Poor financial advertising in sub-prime market a sign of wider problems, says FSA
[24/11/2006] FSA sets out costs and benefits of MIFID
[24/11/2006] Market wide exercise helps to enhance the resilience of financial sector
[23/11/2006] FSA fines salesman for inappropriate conduct
[22/11/2006] FSA fines GenRe UK 1,225,000 GBP for improper reinsurance transactions
[21/11/2006] FSA fines mortgage firm for cold calling
[20/11/2006] FSA signs regulatory cooperation agreement with the CFTC
[13/11/2006] Recognition for FSA's Firms Contact Centre
[09/11/2006] 33% still see senior management buy-in as the biggest barrier to implementing TCF
[06/11/2006] FSA launches discussion on private equity market
[06/11/2006] FSA bans ICM for practices which put consumers at risk
[03/11/2006] FSA bans Christopher Whiteley for failing to insure consumers
[02/11/2006] CIC policyholders to be compensated
[02/11/2006] FSA sets out the priorities for its review of retail distribution
[01/11/2006] FSA encourages the use of Industry Guidance
[31/10/2006] FSA publishes radical proposals for move to principles-based regulation
[30/10/2006] FSA and teachers' TV collaborate on new personal finance education programmes
[30/10/2006] Green light for new home finance regulation
[27/10/2006] FSA publishes near final Transparency Directive rules and updates on Investment Entities Listing Rules review
[26/10/2006] FSA fines loan broker 455,000 GBP for PPI selling failures
[19/10/2006] Some PPI sellers still not treating customers fairly says FSA report
[18/10/2006] FSA outlines help for the young, families and workers across the UK
[17/10/2006] FSA censures firm for pension 'income withdrawal' failings
[10/10/2006] FSA closes in on UK-based share scheme
[04/10/2006] More flexibility in unit pricing goes ahead
[29/09/2006] FSA publishes feedback on regulation of personal pensions
[28/09/2006] Providers and distributors need to work together to treat customers fairly - says FSA
[27/09/2006] Mortgage regulation: Moving in right direction on consumer benefits
[27/09/2006] SEC Chairman, Euronext regulators meet to discuss cooperation in the event of the NYSE Euronext combination
[22/09/2006] Authorisation process for the new home finance activities
[22/09/2006] FSA fines former chief executive for failings leading to client money rule breaches
[21/09/2006] FSA fines Langtons (IFA) Limited 63,000 GBP for serious systems and controls failings
[20/09/2006] FSA warns of illegal motor insurance
[11/09/2006] FSA fines Braemar 182,000 GBP for 'pensions unlocking' failings
[07/09/2006] FSA fines The Carphone Warehouse Limited 245,000 GBP for not treating its telesales insurance customers fairly
[05/09/2006] FSA fines mortgage firm 56,000 GBP for PPI sales failures
[05/09/2006] FSA appoints senior advisor to Markets Division
[04/09/2006] FSA bans Walsall Bridge Insurance for failing to insure consumers
[31/08/2006] FSA to simplify approved persons regime
[31/08/2006] Financial Services Authority confirm Lambeth Building Society merger with the Portman Building Society
[31/08/2006] New members appointed to Consumer Panel
[31/08/2006] Financial Services Authority confirm Lambeth Building Society merger with the Portman Building Society
[31/08/2006] New members appointed to Consumer Panel
[25/08/2006] FSA fines Friendly Society 55,000 GBP for financial promotions failings
[24/08/2006] Court shuts UK firm for assisting overseas boiler rooms
[24/08/2006] FSA fines Kyte 250,000 GBP for client money and accounting failures
[17/08/2006] FSA fines Hoodless Brennan 90,000 GBP for unacceptable sales practices and not treating customers fairly
[17/08/2006] FSA announces Information Systems contracts
[07/08/2006] FSA fines Merrill Lynch 150,000 GBP for transaction reporting failures
[01/08/2006] FSA fines GLG Partners and Philippe Jabre 750,000 GBP each for market abuse
[31/07/2006] FSA consults on MiFID rules for firms and markets
[31/07/2006] New Director of Business Review and Audit Division
[28/07/2006] FSA to end audit requirements for small firms
[25/07/2006] FSA censures director of mortgage broker for serious misconduct
[20/07/2006] FSA and APRA prohibit reinsurance specialist for five years
[19/07/2006] FSA sets deadline for firms falling behind with 'treating customers fairly'
[19/07/2006] Lifetime Mortgage Sales and Advice: Improvements made, but further to go
[14/07/2006] FSA bans former solicitor from doing any regulated activity
[14/07/2006] FSA statement regarding Rosneft listing
[11/07/2006] Financial Services Authority confirms Mercantile Building Society merger with Leeds Building Society
[05/07/2006] FSA publishes feedback on trading transparency in the UK secondary bond market
[29/06/2006] Survey finds teachers need more confidence to teach personal finance in schools
[29/06/2006] Mortgage disclosure documents: quality is improving
[29/06/2006] FSA publishes feedback on fund disclosures to retail clients
[28/06/2006] FSA reports progress on "better regulation" and publishes studies into costs and benefits of financial regulation
[28/06/2006] Lambeth and Portman Building Societies: merger confirmation hearing
[27/06/2006] FSA fines Rainbow Homeloans Limited 35,000 GBP for systems and controls failings
[26/06/2006] FSA publishes Annual Report for 2005/06
[20/06/2006] FSA consults on rules to introduce Insurance Special Purpose Vehicles
[19/06/2006] General insurance conduct of business review looks to fewer rules
[15/06/2006] FSA announces further work on the future of retail distribution
[08/06/2006] FSA assures firms they will not be judged retrospectively
[08/06/2006] Implications of ownership of a UK Recognised Investment Exchange by a US entity
[06/06/2006] Typical boiler room victim loses 20,000 GBP warns FSA
[05/06/2006] Mark Rothery becomes Chairman of the FSA Smaller Businesses Practitioner Panel
[01/06/2006] No change in Compensation Scheme and Ombudsman payment limits - FSA confirms
[31/05/2006] FSA publishes final fees and levies 2006/07 and updates its Online Fee Calculator to help firms
[30/05/2006] Critical illness cover: Firms make progress but still need to do more to treat their customers fairly
[12/05/2006] FSA brings curtain down on celebrity-endorsed betting syndicate
[09/05/2006] Credit union chairman banned for wilful and persistent disregard for FSA rules
[04/05/2006] FSA looks for better handling of client money by general insurance firms
[03/05/2006] FSA to delete the annual reporting requirement on senior managers
[03/05/2006] Future funding of the Financial Ombudsman Service
[28/04/2006] FSA fines firm 20,000 GBP for not seeking approval for individual
[27/04/2006] Home reversions and Islamic mortgages get new consumer protections
[20/04/2006] FSA to allow more flexibility in unit pricing
[12/04/2006] FSA fines chief executive for providing misleading information
[12/04/2006] Firms to benefit from new FSA 'personal handbook service'
[12/04/2006] FSA and lenders in drive to cut mortgage fraud
[11/04/2006] FSA fines Deutsche Bank 6.3million GBP and Mr David Maslen 350,000 GBP for market misconduct
[10/04/2006] Royal Liver Assurance Ltd fined 550,000 GBP for mis-selling with-profits savings policies
[07/04/2006] FSA to consult on ending audit requirements for small firms
[04/04/2006] Tribunal upholds FSA case against solicitor
[03/04/2006] FSA proposes regime for SIPPs and other personal pensions
[30/03/2006] FSA consults on Listing Rule changes and Transparency Directive
[30/03/2006] Firms must improve customer information, says FSA
[27/03/2006] Urgent need to help the young, says FSA
[24/03/2006] FSA update on investment product disclosure
[23/03/2006] FSA and OFT to collaborate on improving regulation
[23/03/2006] FSA publishes feedback on hedge fund risks
[23/03/2006] FSA to consider extending range of retail investment products
[22/03/2006] Memorandum of Understanding for Financial Stability
[21/03/2006] FSA proposes reforms to funding of Compensation Scheme
[20/03/2006] FSA announces next steps on contract certainty in the insurance market
[17/03/2006] FSA publishes measure of scale of market abuse
[17/03/2006] Claims handling: Positive picture from general insurers
[16/03/2006] FSA fines Capita Financial Administrators Limited ?300,000 in first anti-fraud controls case
[14/03/2006] FSA signs regulatory cooperation agreement with the SEC
[07/03/2006] FSA to simplify training and competence rules
[02/03/2006] FSA bars nine small firms from doing regulated business
[28/02/2006] FSA publishes second consultation paper on Capital Requirements Directive
[27/02/2006] Fraud attacks force firms to improve risk management
[21/02/2006] FSA cancels insurance firm's permission to trade
[16/02/2006] FSA bars financial adviser
[08/02/2006] FSA launches e-learning course to help small firms
[07/02/2006] Sex, lies and money. Research reveals finance is the new taboo
[02/02/2006] FSA sets out priorities and budget for 2006/07
[27/01/2006] FSA to streamline money laundering rules for firms
[25/01/2006] FSA's 2006 Financial Risk Outlook emphasises the need for stress testing
[25/01/2006] Director appointments
[23/01/2006] Banks encouraged to engage consumers in tackling online fraud
[16/01/2006] FSA urges consumers to take stock now on their pensions
[12/01/2006] Guardian Assurance and Guardian Linked Life Assurance fined ?750,000 for mishandling mortgage endowment complaints
[11/01/2006] Consumers urged to take the 'debt test'
[06/01/2006] FSA stops IFA from doing regulated business
[21/12/2005] FSA fines finance director £25,000 for market abuse
[16/12/2005] Community and voluntary organisations benefit from FSA's Innovation Fund awards
[16/12/2005] FSA calls for networks to improve control over Appointed Representatives
[15/12/2005] FSA proposes "no change" in compensation and Ombudsman payment limits - but consults on specific issues
[14/12/2005] Tripartite Authorities assess the resilience of the UK financial sector
[14/12/2005] FSA fines HSBC £100,000 for transaction reporting breaches
[09/12/2005] FSA censures Eurodis for listing rules breach
[09/12/2005] FSA finds small IFA firms are handling mortgage endowment complaints well but some issues remain
[09/12/2005] FSA appoints new Compensation Scheme Board chairman
[08/12/2005] FSA keeps 600 'rogue' M&GI firms out of the industry
[07/12/2005] New practice will better protect consumers from cheque fraud
[02/12/2005] Reinsurance brokers agree not to undertake any regulated activity for two years
[02/12/2005] Financial Services Authority sets out road map to better regulation
[01/12/2005] FSA imposes a public censure on Berkeley Independent Advisers Limited
[28/11/2005] FSA releases sector briefing on closed with-profits funds
[25/11/2005] Solicitor found liable for assisting a boiler room share scam
[22/11/2005] FSA warns industry to address VCT promotions failings
[21/11/2005] FSA urges firms to begin planning for MiFID
[17/11/2005] FSA fines UBS £100,000 for transaction reporting breaches
[15/11/2005] General insurance perimeter presents positive picture
[14/11/2005] FSA finds improvements from lenders but mixed results for brokers in self-certification mortgages
[11/11/2005] Former AIT directors ordered to compensate investors
[10/11/2005] Kings fined £60,000 for financial promotions failings
[09/11/2005] FSA fines bond broker and managing director for anti-money laundering failures
[09/11/2005] FSA closes enquiries into Shell individuals
[07/11/2005] Reviews of M&GI regimes - FSA sets out more detail
[04/11/2005] FSA update on payment protection insurance (PPI)
[31/10/2005] FSA reports on its performance
[27/10/2005] New Vice Chairman of Financial Services Consumer Panel
[27/10/2005] FSA updates guide to help employers promote pensions schemes
[26/10/2005] FSA bares all in new mortgage website for consumers
[20/10/2005] FSA takes next steps in reforming its enforcement process
[18/10/2005] FSA looks for improvement in general insurance documents given to customers
[12/10/2005] FSA fines GoshawK Syndicate Management Limited ?220,000 for systems and control failures
[11/10/2005] FSA consults on rules for disclosure of financial reinsurance
[07/10/2005] Former directors sentenced for criminal market abuse
[04/10/2005] Industry progress on Treating Customers Fairly
[30/09/2005] FSA publishes proposals for fund disclosures to retail clients
[29/09/2005] FSA Managing Director tells of challenges to firms in inaugural speech in Northern Ireland
[28/09/2005] FSA closes enquiry into Chelsea Village plc
[23/09/2005] Director appointments
[23/09/2005] FSA announces review of general insurance regulation
[22/09/2005] FSA tell firms: Make sure you are ready for A-day
[20/09/2005] FSA fines CFS Independent Limited for serious risk management and compliance failures
[16/09/2005] FSA publishes Feedback Statement to CP05/3, 'Strengthening Capital Standards'
[16/09/2005] FSA bans former director of IFA firm for management failings
[06/09/2005] FSA finds mixed picture on sub-prime mortgage compliance
[05/09/2005] FSA to examine secondary bond market transparency

Useful Links
Contact Us

Terms & Conditions
Sitemap
Forgotten Password?