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Results: 1-10 of 133

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


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


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


What intensive supervision means for small firms
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 22 2010

The FSA has published a speech given by Linda Woodall (Head of the Savings and Investments Department, FSA) entitled 'What intensive supervision means for small firms'


FSA CEO outlines new conduct regulation strategy - consumer protection through early intervention
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 22 2010

The FSA has published a speech given by Hector Sants (CEO, FSA) entitled UK Financial Regulation: After the Crisis


Discussion Paper 101: Consumer complaints (emerging risks and mass claims)
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 22 2010

The FSA, the Office of Fair Trading and Financial Ombudsman Service (the Authorities) have jointly published Discussion Paper 101: Consumer complaints (emerging risks and mass claims) (DP101


Consultation Paper 107 - Taping: Removing the mobile phone exemption
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 22 2010

The FSA has published Consultation Paper 107: Taping: Removing the mobile phone exemption (CP107


New FSA penalty-setting framework
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 3 2010

On 1 March 2010, the FSA published its Enforcement financial penalties Policy Statement (104), and amendments to the guidance in the Decision Procedure and Penalties manual (DEPP), following a consultation period between June and October 2009


FSA’s approach to intensive supervision
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 21 2010

The FSA has published a speech given by Jon Pain (Managing Director, Supervision, FSA) entitled FSA's approach to intensive supervision


Simplified Advice
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 21 2010

The FSA has published a speech given by Sheila Nicoll (Conduct Policy Director, FSA) which is entitled Simplified Advice