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Policy Statement 096: Regulating retail banking conduct of business - Feedback on CP0819 and final rules

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

In November 2008, the FSA published Consultation Paper 0819: Regulating retail banking conduct of business (CP0819

Policy Statement 097: Financial services compensation scheme: review of limits - Feedback on CP0815 and made rules for non-deposit limits

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

In October 2008, the FSA published Consultation Paper 0815: Financial Services Compensation Scheme: Review of limits (CP0815

Handbook Development newsletter (issue 110)

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

The FSA has published issue 110 of its Handbook Development newsletter

FSA publishes industry-level complaints data to increase transparency

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 7 2009

The FSA has for the first time published aggregate figures showing how many complaints regulated firms have received and how they have dealt with them

Regulation & compliance: BBA and IMA respond to Lord Turner’s comments in Prospect magazine today

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 7 2009

It has been reported that in Prospect magazine Lord Turner, Chairman of the FSA, has said that he would be happy to consider a tax on banks to prevent excessive bonus payments

FSA takes action against chief executive of mortgage network for poor controls over appointed representatives

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 7 2009

A Managing Director of a mortgage and general insurance broker which operated a network of Appointed Representatives (ARs) has had his approval withdrawn for lack of competence and capability involving breaches of Statements of Principle 5 and 7: he failed to manage and control the expanding network to acceptable standards and, as a result, weak systems and controls were exploited by some of the ARs to submit fraudulent mortgage applications and recommend unsuitable mortgage contracts

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

Mansion House speech

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 24 2009

Adair Turner, Chairman, FSA, gave a speech at the Mansion House City Banquet on 22 September 2009

Restoring confidence & trust

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 24 2009

The FSA has published a speech given by Jon Pain, Managing Director, Retail Markets, FSA

BBA Chairman sets out banking industry’s hopes for G20

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 24 2009

The British Bankers' Association (BBA) has published a letter from its chairman, Stephen Green, to Prime Minister Gordon Brown ahead of the G20 summit in Pittsburgh

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