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FSA speech - Lessons from the financial crisis

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

The FSA has published a speech by Verena Ross (Director of Strategy and Risk) entitled Lessons from the financial crisis

FSA enforcement

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 14 2009

An independent financial adviser (HNL) has been fined £14,000 for a breach of Principle 9 (Customers: relationship of trust) in relation to the suitability of its investment advice

Policy Statement 0920: Stress and Scenario Testing - feedback on CP0824 and final rules

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • December 21 2009

The FSA has published Policy Statement 0920: Stress and Scenario Testing - feedback on CP0824 and final rules (PS0920

Paul Tucker speech at Barclays Annual Lecture

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • November 2 2009

Paul Tucker, Deputy Governor, Financial Stability, Bank of England, gave a speech at the Barclays Annual Lecture in which he outlined the Bank’s thinking on the development of a "toolkit" of macro-prudential instruments with the prime purpose of making the financial system more resilient to swings in the credit cycle

FOS publishes Ombudsman News issue 81

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • November 30 2009

The Financial Ombudsman Service (FOS) has published issue 81 of Ombudsman News

The PRA Remuneration Code's revised clawback obligations

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 1 2014

On 30 July 2014, the PRA published a policy statement (PS714) announcing the revised clawback obligations which will apply to PRA-regulated firms in

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

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

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

FSA speech - Delivering credible deterrence

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 4 2009

The FSA has published a speech by Margaret Cole (Director of Enforcement, FSA) entitled Delivering credible deterrence

Supplementary annex to good and poor practices in Key Features Documents

  • Norton Rose Fulbright 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

Ombudsman News 78

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • August 6 2009

The Financial Ombudsman Service (FOS) has published issue 78 of Ombudsman News