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FSA fines and bans compliance officer for APER breach

Dentons
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United Kingdom
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November 25 2011

FSA has fined Dr Sandradee Joseph £14,000 and banned her from performing any significant influence function in regulated financial services

FSA makes new rules

Dentons
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United Kingdom
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September 30 2011

The Handbook Administration (No. 23) Instrument 2011: This makes minor changes to the Glossary, the Financial Stability and Market Confidence Sourcebook, the Insurance: Conduct of Business Sourcebook, the Supervision Manual, the Collective Investment Schemes Sourcebook and the Prospectus Rules with effect from 1 October

FSA finalises structured product guidance

Dentons
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United Kingdom
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March 30 2012

FSA has finalised its guidance on the governance, systems and controls it expects firms that sell structured products to have in place

FSA confirms retail TC rules

Dentons
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United Kingdom
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December 23 2010

FSA has confirmed the changes to its rules on training and competence for those who work in the retail advisory sector

Up next from FSA

Dentons
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United Kingdom
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September 3 2010

During September, FSA publications will include feedback on its consultation on implementing aspects of the Financial Services Act 2010

Up next from FSA

Dentons
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United Kingdom
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December 10 2010

Before the end of 2010, FSA plans policy statements on its proposals on regulatory fees and levies (with more feedback in 2011), revisions to the Remuneration Code, implementing the requirements of Capital Requirements Directive 3 (CRD3) on disclosure of remuneration, competence and ethics, its third consultation on strengthening capital standards

FSA releases new forms

Dentons
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United Kingdom
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April 28 2011

FSA has published new forms relating to controlled functions applications, which take effect from 1 May

Complaints Commissioner orders FSA to apologise for evening courier

Dentons
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United Kingdom
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March 18 2011

The Complaints Commissioner has upheld a complaint about delivery of a courier package relating to an enforcement investigation from it to a private residence after 9.00pm