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Results: 1-10 of 158

The new accountability regime
  • Norton Rose Fulbright LLP
  • United Kingdom
  • December 8 2014

In the UK the Financial Services and Markets Act 2000 (FSMA) gives the Prudential Regulation Authority (PRA) and the Financial Conduct Authority


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


Financial services updater - 4 February 2014: retail
  • Norton Rose Fulbright LLP
  • European Union, United Kingdom
  • February 4 2014

The Council of the EU has published a press release announcing that it has adopted the proposed Mortgage Credit Directive (MCD). It was adopted by


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


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


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