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Results: 1-10 of 27

FSA publishes quarterly consultation
  • Dentons
  • United Kingdom
  • January 14 2011

FSA's latest quarterly consultation proposes changes to require a firm to tell FSA before the firm or a group company issues a capital instrument it wants to include as regulatory capital (deadline 6 March


FSA consults on CMAR
  • Dentons
  • United Kingdom
  • February 18 2011

Following FSA's decision to introduce the Client Money and Asset Return (CMAR), it is now consulting on how to implement it


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 publishes complaints data
  • Dentons
  • United Kingdom
  • April 1 2011

FSA has published firm complaints data for the second half of 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


FSA publishes decision notices before tribunal hearing
  • Dentons
  • United Kingdom
  • May 20 2011

FSA has published for the first time a decision notice for an enforcement decision that is being referred to the Tribunal


FSA bans former partner
  • Dentons
  • United Kingdom
  • February 11 2011

FSA has banned a former partner in a City firm from working in financial services


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


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


FSA makes more new rules
  • Dentons
  • United Kingdom
  • October 1 2010

In addition to the new rules highlighted above, FSA made the following instruments at its September board meeting