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Results: 1-10 of 156

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


Financial services updater 13 January 2014: insurance
  • Norton Rose Fulbright LLP
  • European Union, Global, United Kingdom
  • January 13 2014

The European Insurance and Occupational Pensions Authority (EIOPA) has published an updated version of its Risk Dashboard. In the main, despite some


Financial services updater 13 January 2014: enforcement
  • Norton Rose Fulbright LLP
  • United Kingdom
  • January 13 2014

The FCA has fined JLT Specialty Limited (JLTSL), which provides insurance broking and risk management services, £1,876,000 for failing to maintain


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


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