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Results: 1-10 of 25

Complaints Commissioner recommends settlement notes

  • Dentons
  • -
  • United Kingdom
  • -
  • April 1 2011

The Complaints Commissioner has suggested FSA should consider agreeing a final note of any discussions leading to a final decision in an enforcement investigation

FSA warns of client asset email

  • Dentons
  • -
  • United Kingdom
  • -
  • December 23 2010

FSA plans to email small firms whose permissions include safeguarding and administration without arranging, or which have authority to hold client money, during the first week of January

FSA bans firm for failing to pay skilled person

  • Dentons
  • -
  • United Kingdom
  • -
  • June 24 2011

FSA has cancelled the permission of a firm that had failed to pay for a required “skilled persons” report

FSA responds on capital standards

  • Dentons
  • -
  • United Kingdom
  • -
  • July 30 2010

FSA has published feedback to its consultation on Strengthening Capital Standards 3 in which it proposed changes to its rules to implement most of CRD2 and CRD3

Up next from FSA

  • Dentons
  • -
  • United Kingdom
  • -
  • February 4 2011

Over the next couple of months, FSA expects to publish:a consultation on the review of the Financial Services Compensation Scheme funding model

Treasury publishes bulletin

  • Dentons
  • -
  • United Kingdom
  • -
  • October 15 2010

Treasury has published a bulletin summarising recent developments in financial services

Up next from FSA

  • Dentons
  • -
  • United Kingdom
  • -
  • October 1 2010

Before the end of October, FSA plans to publish feedback and rules on implementing aspects of the FS Act 2010

Complaints Commissioner orders FSA to apologise for evening courier

  • Dentons
  • -
  • United Kingdom
  • -
  • 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

Up next from FSA

  • Dentons
  • -
  • United Kingdom
  • -
  • July 30 2010

The latest issue of Handbook Development promises during August: a discussion paper on the prudential regime for trading activities; and feedback on FSA's discussion paper on financial reporting by credit institutions

Complaints Commissioner upholds FSA fee demands

  • Dentons
  • -
  • United Kingdom
  • -
  • August 20 2010

The Complaints Commissioner has rejected complaints from two firms that ceased business and objected to FSA claiming fees for the full year during which the business ceased