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Results: 1-10 of 280

FSA enforcement

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 21 2010

The Financial Services and Markets Tribunal (the Tribunal) has upheld the FSA's refusal of a sole trader mortgage broker's application for Part IV permission on the grounds of repeated failure to file an RMAR

Supplementary annex to good and poor practices in Key Features Documents

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 11 2009

The FSA has published a supplementary annex to its report on good and poor practices in Key Features Documents which was originally published on 28 September 2007

The Turner Review: a regulatory response to the global banking crisis

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • March 23 2009

The FSA has published the Turner Review together with a supporting Discussion Paper

The Financial Markets and Insolvency (Settlement Finality) (Amendment) Regulations 2009

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • July 27 2009

The Treasury has published the Financial Markets and Insolvency (Settlement Finality) (Amendment) Regulations 2009, which will come into force on 1 October 2009

Conduct of Business Sourcebook (COBS) post implementation review: final statement on findings

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • March 29 2010

The FSA has published its final statement on its findings following the Conduct of Business (COBS) post-implementation review

Banking crisis: dealing with the failure of the UK banks

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 11 2009

The House of Commons Treasury Committee (the Committee) has published its seventh report of session 200809 entitled Banking crisis: Dealing with the failure of the UK banks (the Report

Discussion Paper 093: Mortgage Market Review

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • October 26 2009

The FSA has published Discussion Paper 093: Mortgage Market Review (DP093

FSA letter to BBA on ICG and GENPRU 1.2.26R

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • March 30 2009

The FSA has published a letter it sent to the British Bankers Association on the Individual Capital Guidance (ICG) and rule 1.2.26 of the General Prudential sourcebook (GENPRU 1.2.26R

FSA publishes policy statement on the approved persons regime

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • August 3 2009

The FSA has confirmed an extension of the approved persons regime for those that perform a ‘significant influence’ function at firms

FSA speech - delivering intensive supervision and credible deterrence

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • March 16 2009

The FSA has published a speech by Hector Sants (CEO, FSA) entitled "Delivering intensive supervision and credible deterrence"