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Results: 11-20 of 471

The six-month time limit
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

The Financial Ombudsman Service (FOS) has published an online technical resource note that explains the "six-month time limit" for referring complaints to it


FSA enforcement
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

A former inter-dealer broker has been prohibited in connection with deliberate unauthorised trades


Something old and something new: Novel and familiar drivers of the latest crisis
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

The FSA has published a speech given by Adair Turner (Chairman, FSA) entitled Something old and something new: Novel and familiar drivers of the latest crisis


City of London Corporation’s report on avoiding corruption risks in City businesses
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 27 2010

Transparency International (TI) has published its report for the City of London Corporation focusing on corruption risks in financial services firms and the potential impact of the Bribery Act 2010 on the sector once it comes into force


Focus on insurance brokers: FSA final report on brokers’ anti-bribery and corruption controls
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 24 2010

The FSA has published its final report on anti-bribery and corruption in commercial insurance broking which concludes that the approach of broker firms to higher risk business with third parties has been too informal, with many brokers failing to apply a risk-based approach to anti-bribery and corruption in practice


Key priorities in regulation - outlining the FSA’s strategy
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 21 2010

The FSA has published a speech by Ken Hogg (Insurance Sector, FSA) entitled Key priorities in regulation - outlining the FSA's strategy


FSA enforcement
  • Norton Rose Fulbright 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


One arrested in FSA and CoLP insider dealing investigation
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 21 2010

The FSA has issued a press notice stating that investigators from its Enforcement and Financial Crime Division acting with the assistance of the City of London Police (CoLP) have conducted a search operation at a residential address in East London


IMA press release on annuity reform
  • Norton Rose Fulbright LLP
  • European Union, United Kingdom
  • May 21 2010

The Investment Management Association (IMA) has issued a short press statement welcoming annuity reform and urges the Government to press ahead with the 2012 reforms on schedule


Statement regarding Competition Commission’s decision on prohibition of point of sale
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 21 2010

The British Bankers Association (BBA) has issued a statement stating that it is very disappointed that the Competition Commission has decided to pursue a point of sale prohibition for payment protection insurance products