| Ref. |
Date |
Subject |
| FSA/PN/137/2006 |
20/12/2006 |
FSA imposes a public censure on Eastern Western Motor Group |
| FSA/PN/136/2006 |
20/12/2006 |
FSA fines home shopping company £270,000 for PPI selling failures |
| FSA/PN/135/2006 |
14/12/2006 |
FSA publishes further consultation on listing rules for investment entities |
| FSA/PN/134/2006 |
13/12/2006 |
Consumers with interest-only mortgages need to have robust repayment plans, says FSA |
| FSA/PN/133/2006 |
11/12/2006 |
Endowments: better outcomes for consumers but no room for complacency, says FSA |
| FSA/PN/132/2006 |
8/12/2006 |
FSA fines mortgage firm £52,500 for management failures |
| FSA/PN/131/2006 |
5/12/2006 |
FSA acts to halt unauthorised deposit-taker |
| FSA/PN/130/2006 |
4/12/2006 |
Statement on the proposed combination involving Euronext N.V. and NYSE Group Inc. |
| FSA/PN/129/2006 |
30/11/2006 |
Further progress needed by insurers on their management of risk |
| FSA/PN/128/2006 |
29/11/2006 |
Financial Services Authority confirms Universal Building Society merger with the Newcastle Building Society |
| FSA/PN/127/2006 |
29/11/2006 |
New director appointments at the FSA |
| FSA/PN/126/2006 |
30/11/2006 |
FSA response to Practitioner Panel report |
| FSA/PN/125/2006 |
28/11/2006 |
Poor financial advertising in sub-prime market a sign of wider problems, says FSA |
| FSA/PN/124/2006 |
24/11/2006 |
Market wide exercise helps to enhance the resilience of financial sector |
| FSA/PN/123/2006 |
24/11/2006 |
FSA sets out costs and benefits of MIFID |
| FSA/PN/122/2006 |
23/11/2006 |
FSA fines salesman for inappropriate conduct |
| FSA/PN/121/2006 |
22/11/2006 |
Meeting of the Euronext regulators |
| FSA/PN/120/2006 |
22/11/2006 |
FSA fines GenRe UK £1,225,000 for improper reinsurance transactions |
| FSA/PN/119/2006 |
21/11/2006 |
FSA fines mortgage firm for cold calling |
| FSA/PN/118/2006 |
20/11/2006 |
FSA signs regulatory cooperation agreement with the CFTC |
| FSA/PN/117/2006 |
13/11/2006 |
Recognition for FSA's Firms Contact Centre |
| FSA/PN/116/2006 |
9/11/2006 |
33% still see senior management buy-in as the biggest barrier to implementing TCF |
| FSA/PN/115/2006 |
6/11/2006 |
FSA bans ICM for practices which put consumers at risk |
| FSA/PN/114/2006 |
6/11/2006 |
FSA launches discussion on private equity market |
| FSA/PN/113/2006 |
3/11/2006 |
FSA bans Christopher Whiteley for failing to insure consumers |
| FSA/PN/112/2006 |
2/11/2006 |
FSA sets out the priorities for its review of retail distribution |
| FSA/PN/111/2006 |
2/11/2006 |
CIC policyholders to be compensated |
| FSA/PN/110/2006 |
1/11/2006 |
FSA encourages the use of Industry Guidance |
| FSA/PN/109/2006 |
31/10/2006 |
FSA publishes radical proposals for move to principles-based regulation |
| FSA/PN/108/2006 |
30/10/2006 |
Green light for new home finance regulation |
| FSA/PN/107/2006 |
30/10/2006 |
FSA and teachers' TV collaborate on new personal finance education programmes |
| FSA/PN/106/2006 |
27/10/2006 |
FSA publishes near final Transparency Directive rules and updates on Investment Entities Listing Rules review |
| FSA/PN/105/2006 |
26/10/2006 |
FSA fines loan broker £455,000 for PPI selling failures |
| FSA/PN/104/2006 |
19/10/2006 |
Some PPI sellers still not treating customers fairly says FSA report |
| FSA/PN/103/2006 |
18/10/2006 |
FSA outlines help for the young, families and workers across the UK |
| FSA/PN/102/2006 |
17/10/2006 |
FSA censures firm for pension 'income withdrawal' failings |
| FSA/PN/101/2006 |
10/10/2006 |
FSA closes in on UK-based share scheme |
| FSA/PN/100/2006 |
04/10/2006 |
More flexibility in unit pricing goes ahead |
| FSA/PN/099/2006 |
29/9/2006 |
FSA publishes feedback on regulation of personal pensions |
| FSA/PN/098/2006 |
28/9/2006 |
Providers and distributors need to work together to treat customers fairly - says FSA |
| FSA/PN/097/2006 |
27/9/2006 |
SEC Chairman, Euronext regulators meet to discuss cooperation in the event of the NYSE Euronext combination |
| FSA/PN/096/2006 |
27/9/2006 |
Mortgage regulation: Moving in right direction on consumer benefits |
| FSA/PN/095/2006 |
22/9/2006 |
FSA fines former chief executive for failings leading to client money rule breaches |
| FSA/PN/094/2006 |
22/9/2006 |
Authorisation process for the new home finance activities |
| FSA/PN/093/2006 |
21/9/2006 |
FSA fines Langtons (IFA) Limited £63,000 for serious systems and controls failings |
| FSA/PN/092/2006 |
20/9/2006 |
FSA warns of illegal motor insurance |
| FSA/PN/091/2006 |
11/9/2006 |
FSA fines Braemar £182,000 for 'pensions unlocking' failings |
| FSA/PN/090/2006 |
7/9/2006 |
FSA fines The Carphone Warehouse Limited £245,000 for not treating its telesales insurance customers fairly |
| FSA/PN/089/2006 |
5/9/2006 |
FSA appoints senior advisor to Markets Division |
| FSA/PN/088/2006 |
5/9/2006 |
FSA fines mortgage firm £56,000 for PPI sales failures |
| FSA/PN/087/2006 |
4/9/2006 |
FSA bans Walsall Bridge Insurance for failing to insure consumers |
| FSA/PN/086/2006 |
31/8/2006 |
New members appointed to Consumer Panel |
| FSA/PN/085/2006 |
31/8/2006 |
Financial Services Authority confirm Lambeth Building Society merger with the Portman Building Society |
| FSA/PN/084/2006 |
31/8/2006 |
FSA to simplify approved persons regime |
| FSA/PN/083/2006 |
25/8/2006 |
FSA fines Friendly Society £55,000 for financial promotions failings |
| FSA/PN/082/2006 |
24/8/2006 |
FSA fines Kyte £250,000 for client money and accounting failures |
| FSA/PN/081/2006 |
24/8/2006 |
Court shuts UK firm for assisting overseas boiler rooms |
| FSA/PN/080/2006 |
17/8/2006 |
FSA announces Information Systems contracts |
| FSA/PN/079/2006 |
17/8/2006 |
FSA fines Hoodless Brennan £90,000 for unacceptable sales practices and not treating customers fairly |
| FSA/PN/078/2006 |
7/8/2006 |
FSA fines Merrill Lynch £150,000 for transaction reporting failures |
| FSA/PN/077/2006 |
1/8/2006 |
FSA fines GLG Partners and Philippe Jabre £750,000 each for market abuse |
| FSA/PN/076/2006 |
31/7/2006 |
New Director of Business Review and Audit Division |
| FSA/PN/075/2006 |
31/7/2006 |
FSA consults on MiFID rules for firms and markets |
| FSA/PN/074/2006 |
28/7/2006 |
FSA to end audit requirements for small firms |
| FSA/PN/073/2006 |
25/7/2006 |
FSA censures director of mortgage broker for serious misconduct |
| FSA/PN/072/2006 |
20/7/2006 |
FSA and APRA prohibit reinsurance specialist for five years |
| FSA/PN/071/2006 |
19/7/2006 |
Lifetime Mortgage Sales and Advice: Improvements made, but further to go |
| FSA/PN/070/2006 |
19/7/2006 |
FSA sets deadline for firms falling behind with 'treating customers fairly' |
| FSA/PN/069/2006 |
14/7/2006 |
FSA statement regarding Rosneft listing |
| FSA/PN/068/2006 |
14/7/2006 |
FSA bans former solicitor from doing any regulated activity |
| FSA/PN/067/2006 |
11/7/2006 |
Financial Services Authority confirms Mercantile Building Society merger with the Leeds Building Society |
| FSA/PN/066/2006 |
5/7/2006 |
FSA publishes feedback on trading transparency in the UK secondary bond market |
| FSA/PN/065/2006 |
29/6/2006 |
FSA publishes feedback on fund disclosures to retail clients |
| FSA/PN/064/2006 |
29/6/2006 |
Mortgage disclosure documents: quality is improving |
| FSA/PN/063/2006 |
29/6/2006 |
Survey finds teachers need more confidence to teach personal finance in schools |
| FSA/PN/062/2006 |
28/6/2006 |
Lambeth and Portman Building Societies: merger confirmation hearing |
| FSA/PN/061/2006 |
28/6/2006 |
FSA reports progress on "better regulation" and publishes studies into costs and benefits of financial regulation |
| FSA/PN/060/2006 |
27/6/2006 |
FSA fines Rainbow Homeloans Limited £35,000 for systems and controls failings |
| FSA/PN/059/2006 |
26/6/2006 |
FSA publishes Annual Report for 2005/06 |
| FSA/PN/058/2006 |
20/6/2006 |
FSA consults on rules to introduce Insurance Special Purpose Vehicles |
| FSA/PN/057/2006 |
19/6/2006 |
General insurance conduct of business review looks to fewer rules |
| FSA/PN/056/2006 |
15/6/2006 |
FSA announces further work on the future of retail distribution |
| FSA/PN/055/2006 |
8/6/2006 |
Implications of ownership of a UK Recognised Investment Exchange by a US entity |
| FSA/PN/054/2006 |
8/6/2006 |
FSA assures firms they will not be judged retrospectively |
| FSA/PN/053/2006 |
6/6/2006 |
Typical boiler room victim loses £20,000, warns FSA |
| FSA/PN/052/2006 |
5/6/2006 |
Mark Rothery becomes Chairman of the FSA Smaller Businesses Practitioner Panel |
| FSA/PN/051/2006 |
1/6/2006 |
No change in Compensation Scheme and Ombudsman payment limits - FSA confirms |
| FSA/PN/050/2006 |
1/6/2006 |
FSA consults on new requirements for firms' regulatory reporting |
| FSA/PN/049/2006 |
31/5/2006 |
FSA publishes final fees and levies 2006/07 and updates its Online Fee Calculator to help firms |
| FSA/PN/048/2006 |
30/5/2006 |
Critical illness cover: Firms make progress but still need to do more to treat their customers fairly |
| FSA/PN/047/2006 |
12/5/2006 |
FSA brings curtain down on celebrity-endorsed betting syndicate |
| FSA/PN/046/2006 |
9/5/2006 |
Credit union chairman banned for wilful and persistent disregard for FSA rules |
| FSA/PN/045/2006 |
4/5/2006 |
FSA looks for better handling of client money by general insurance firms |
| FSA/PN/044/2006 |
3/5/2006 |
Future funding of the Financial Ombudsman Service |
| FSA/PN/043/2006 |
3/5/2006 |
FSA to delete the annual reporting requirement on senior managers |
| FSA/PN/042/2006 |
28/4/2006 |
FSA fines firm £20,000 for not seeking approval for individual |
| FSA/PN/041/2006 |
27/4/2006 |
Home reversions and Islamic mortgages get new consumer protections |
| FSA/PN/040/2006 |
20/4/2006 |
FSA to allow more flexibility in unit pricing |
| FSA/PN/039/2006 |
12/4/2006 |
FSA and lenders in drive to cut mortgage fraud |
| FSA/PN/038/2006 |
12/4/2006 |
Firms to benefit from new FSA 'personal handbook service' |
| FSA/PN/037/2006 |
12/4/2006 |
FSA fines chief executive for providing misleading information |
| FSA/PN/036/2006 |
11/4/2006 |
FSA fines Deutsche Bank £6.3million and Mr David Maslen £350,000 for market misconduct |
| FSA/PN/035/2006 |
10/4/2006 |
Royal Liver Assurance Ltd fined £550,000 for mis-selling with-profits savings policies |
| FSA/PN/034/2006 |
07/4/2006 |
FSA to consult on ending audit requirements for small firms |
| FSA/PN/033/2006 |
04/4/2006 |
Tribunal upholds FSA case against solicitor |
| FSA/PN/032/2006 |
03/4/2006 |
FSA proposes regime for SIPPs and other personal pensions |
| FSA/PN/031/2006 |
30/3/2006 |
Firms must improve customer information, says FSA |
| FSA/PN/030/2006 |
30/3/2006 |
FSA consults on Listing Rule changes and Transparency Directive |
| FSA/PN/029/2006 |
28/3/2006 |
Urgent need to help the young, says FSA |
| FSA/PN/028/2006 |
24/3/2006 |
FSA update on investment product disclosure |
| FSA/PN/027/2006 |
23/3/2006 |
FSA to consider extending range of retail investment products |
| FSA/PN/026/2006 |
23/3/2006 |
FSA publishes feedback on hedge fund risks |
| FSA/PN/025/2006 |
22/3/2006 |
Memorandum of Understanding for Financial Stability |
| FSA/PN/024/2006 |
22/3/2006 |
FSA and OFT to collaborate on improving regulation |
| FSA/PN/023/2006 |
21/3/2006 |
FSA proposes reforms to funding of Compensation Scheme |
| FSA/PN/022/2006 |
20/3/2006 |
FSA announces next steps on contract certainty in the insurance market |
| FSA/PN/021/2006 |
17/3/2006 |
Claims handling: Positive picture from general insurers |
| FSA/PN/020/2006 |
17/3/2006 |
FSA publishes measure of scale of market abuse |
| FSA/PN/019/2006 |
16/3/2006 |
FSA fines Capita Financial Administrators Limited £300,000 in first anti-fraud controls case |
| FSA/PN/018/2006 |
14/3/2006 |
FSA signs regulatory cooperation agreement with the SEC |
| FSA/PN/017/2006 |
7/3/2006 |
FSA to simplify training and competence rules |
| FSA/PN/016/2006 |
2/3/2006 |
FSA bars nine small firms from doing regulated business |
| FSA/PN/015/2006 |
28/2/2006 |
FSA publishes second consultation paper on Capital Requirements Directive |
| FSA/PN/014/2006 |
27/2/2006 |
Fraud attacks force firms to improve risk management |
| FSA/PN/013/2006 |
21/2/2006 |
FSA cancels insurance firm's permission to trade |
| FSA/PN/012/2006 |
16/2/2006 |
FSA bars financial adviser |
| FSA/PN/011/2006 |
7/2/2006 |
FSA launches e-learning course to help small firms |
| FSA/PN/010/2006 |
7/2/2006 |
Sex, lies and money. Research reveals finance is the new taboo |
| FSA/PN/009/2006 |
1/2/2006 |
FSA sets out priorities and budget for 2006/07 |
| FSA/PN/008/2006 |
27/1/2006 |
FSA to stream line money laundering rules for firms |
| FSA/PN/007/2006 |
25/1/2006 |
Director appointments |
| FSA/PN/006/2006 |
25/1/2006 |
FSA's 2006 Financial Risk Outlook emphasises the need for stress testing |
| FSA/PN/005/2006 |
23/1/2006 |
Banks encouraged to engage consumers in tackling online fraud |
| FSA/PN/004/2006 |
16/1/2006 |
FSA urges consumers to take stock now on their pensions |
| FSA/PN/003/2006 |
12/1/2006 |
Guardian Assurance and Guardian Linked Life Assurance fined £750,000 for mishandling mortgage endowment complaints |
| FSA/PN/002/2006 |
11/1/2006 |
Consumers urged to take the 'debt test' |
| FSA/PN/001/2006 |
6/1/2006 |
FSA stops IFA from doing regulated business |
