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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


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


Modification by consent of SUP 10.1.7r(1), (2) & (5) - available to overseas firms with UK branches
  • Norton Rose Fulbright LLP
  • United Kingdom
  • August 17 2009

The FSA has published a web page stating that it has issued a modification by consent for overseas firms with UK branches regarding the period from 6 August to 6 October 2009


The FSA's agenda for fighting financial crime
  • Norton Rose Fulbright LLP
  • United Kingdom
  • November 30 2009

The FSA has published a speech given by Margaret Cole, Director of Enforcement, FSA


FSA warns firms not to include "long-stop" on complaints in terms of business
  • Norton Rose Fulbright LLP
  • United Kingdom
  • November 30 2009

The FSA has warned firms that it will take follow-up action against those that attempt to remove consumers’ rights to pursue complaints in the courts or with the Financial Ombudsman Service, particularly by inserting clauses into their terms and conditions that purport to do so


Conducting business with consumers - delivering the best outcomes
  • Norton Rose Fulbright LLP
  • United Kingdom
  • November 30 2009

The FSA has published a speech given by Sheila Nicoll (Director of the Conduct Policy Division, FSA) at the Tax Incentivised Savings Association Annual Conference


Responding to the financial crisis: challenging past assumptions
  • Norton Rose Fulbright LLP
  • United Kingdom
  • December 7 2009

The FSA has published a speech by Adair Turner (Chairman, FSA) entitled Responding to the financial crisis: challenging past assumptions


Risk, reward and responsibility: the financial sector and society
  • Norton Rose Fulbright LLP
  • United Kingdom
  • December 14 2009

HM Treasury has published a discussion document which is entitled Risk, reward and responsibility: the financial sector and society


Final Notice relating to change of control under Part XII FSMA 2000 concerning Resolution Ltd, Resolution Holdco no 1 LP, Sussex Holdings (Guernsey) Ltd and Resolution Holdings (UK) Ltd
  • Norton Rose Fulbright LLP
  • United Kingdom
  • November 2 2009

The FSA has published a Final Notice regarding the acquisition of control of the Target Firms by the Controller Firms


Swinton to offer refunds on over 480,000 PPI policies following FSA intervention
  • Norton Rose Fulbright LLP
  • United Kingdom
  • November 2 2009

The FSA has fined the Swinton Group, a high street insurance broker, £770,000 for breaches of Principles 3 (Management and control), 6 (Customer’s interests), 7 (Communications with clients) and 9 (Customers: relationship of trust) arising from advised sales of single premium payment protection insurance ("PPI"