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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
 
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