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Results: 1-10 of 135

MoU between the OFT and the FSA
  • Norton Rose Fulbright LLP
  • United Kingdom
  • December 14 2009

In April 2006 the FSA and the Office of Fair Trading (OFT) published a joint action plan which was entitled Delivering better regulatory outcomes


FSA enforcement
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 1 2010

An IFA network (owned by Royal Liver Assurance Limited) has been censured for breaches of Principle 3 and Principle 9 arising from its failure to implement sufficient controls to ensure that files properly evidenced the suitability of sales, that sales were suitable or that compliance checks were adequate


New Chairman of the Practitioner Panel appointed
  • Norton Rose Fulbright LLP
  • United Kingdom
  • December 14 2009

The FSA has issued a press notice stating that Iain Cornish has been appointed the Chairman of the Financial Services Practitioner Panel for two years from 1 December 2009


FSA bans broker for high-pressure sales techniques and widespread systems and controls failings
  • Norton Rose Fulbright LLP
  • United Kingdom
  • December 14 2009

Aaron Nickols, trading as Warwick Finance (Warwick), has been banned for not being fit and proper to run a mortgage and insurance business


Queen’s Speech - Financial Services Regulation Bill
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

A transcript of the Queen's Speech which outlines the Government's priorities for the coming Parliamentary year has been published on the Number 10 website


FSA announces delay in progress of proposed new PPI complaints handling requirements
  • Norton Rose Fulbright LLP
  • United Kingdom
  • November 30 2009

In September 2009 the FSA published Consultation Paper 0923: The assessment and redress of payment protection insurance complaints (CP0923


FSA letter to the ABI
  • Norton Rose Fulbright LLP
  • United Kingdom
  • November 30 2009

The FSA has written to the Association of British Insurers (ABI) to clarify the rules and guidance in its Handbook concerning the regulatory treatment of insurance companies holding the new Enhanced Capital Notes (ECNs) issued by Lloyds Banking Group


National occupational standards for providing financial advice & financial planning
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 22 2010

The Financial Services Skills Council (FSSC) has published a final draft version of the national occupational standards (NOS) for providing financial advice and financial planning


Solvency 2 - IMAP update
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 22 2010

In order to help insurers to seek approval to use an internal model under Solvency 2, the FSA intends to publish regular updates on its website about internal model approval process (IMAP) activity


Ombudsman News 82
  • Norton Rose Fulbright LLP
  • United Kingdom
  • January 4 2010

The Financial Ombudsman Service has published issue 82 of its newsletter Ombudsman News