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FSA Dear CEO letter - our approach to significant influence functions in relation to recognised bodies
  • Norton Rose Fulbright LLP
  • United Kingdom
  • January 18 2010

Last year the FSA extended the scope of the approved persons regime for those that exercise a 'significant influence' function (SIF) at authorised firms


The Banking Act 2009 (Exclusion of Insurers) Order 2010
  • Norton Rose Fulbright LLP
  • United Kingdom
  • January 18 2010

The Office of Public Sector Information (OPSI) has published The Banking Act 2009 (Exclusion of Insurers) Order 2010


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


Policy Statement 097: Financial services compensation scheme: review of limits - Feedback on CP0815 and made rules for non-deposit limits
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 4 2009

In October 2008, the FSA published Consultation Paper 0815: Financial Services Compensation Scheme: Review of limits (CP0815


Handbook Development newsletter (issue 110)
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 4 2009

The FSA has published issue 110 of its Handbook Development newsletter


FSA speech - Delivering credible deterrence
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 4 2009

The FSA has published a speech by Margaret Cole (Director of Enforcement, FSA) entitled Delivering credible deterrence


Feedback Statement 091: Insurance Risk Management: The Path to Solvency II - feedback on DP084
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 11 2009

In September 2008, the FSA published Discussion Paper 084: Insurance Risk Management: The Path to Solvency II (DP084


Financial services firms’ approach to UK financial sanctions
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 4 2009

The FSA has published a report from its Financial Crime and Intelligence Division entitled Financial services firms’ approach to UK financial sanctions (the Report


FSA speech - Tackling financial crime in the current economic climate
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 4 2009

The FSA has published a speech by Sally Dewar (Managing Director, Wholesale, FSA) entitled Tackling financial crime in the current economic climate