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Results: 1-10 of 135

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


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


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


What are the key risks facing the insurance sector?
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 29 2010

The FSA has published a speech given by Ken Hogg (Director, Insurance Sector, FSA) entitled What are the key risks facing the insurance sector?In his speech Mr Hogg highlights some of the key insurance risks that are referred to in the latest Financial Risk Outlook and the Insurance Sector Digest


Our approach to insurance supervision
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 29 2010

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


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'


Ombudsman News - issue 84
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 29 2010

The Financial Ombudsman Service (FOS) has published issue 84 of Ombudsman News


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