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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


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


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


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


Financial services updater - 4 February 2014: FCA PRA Handbook
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 4 2014

The PRA consults on administration instruments. An administration instrument is used to make corrections to PRA Handbook provisions. The corrections


The Financial Services and Markets Act 2000 (Exemption) (Amendment) (No. 2) Order 2009
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 16 2009

On the Office of Public Sector Information website, there has been published the Financial Services and Markets Act 2000 (Exemption) (Amendment) (No. 2) Order 2009


FSA speech - The Crisis: the role of investors
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 16 2009

The FSA has published a speech by Hector Sants (CEO, FSA) entitled The Crisis: the role of investors


The Financial Services and Markets Act 2000 (Controllers) Regulations 2009
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 23 2009

There has been published on the Office of Public Sector Information website, the Financial Services and Markets Act 2000 (Controllers) Regulations 2009 with an explanatory memorandum


Handbook Development newsletter (issue 108)
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 9 2009

The FSA has published issue 108 of its Handbook Development newsletter