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34 results found

Article

Locke Lord LLP | United Kingdom | 22 Jul 2010

FSA fines approved person for unsuitable PPI advice

On 9 July 2010, the Financial Services Authority (FSA) fined David Head £10,500 for putting customers at risk of receiving unsuitable advice on Payment Protection Insurance (PPI).

Article

Locke Lord LLP | United Kingdom | 21 Jul 2010

FSA reforms - update

We have reported previously on the UK government's proposals to reform the regulatory structure in the UK and abolish the FSA (click here to see our post).

Article

Locke Lord LLP | United Kingdom | 15 Jul 2010

Financial Services Authority bans three individuals who defrauded insurers through coverholder arrangements

On 8 July, the Financial Services Authority (FSA) banned Timothy Higgins, Clifford Felstead and Ralph Brunswick (who were found guilty in June 2008 of conspiring to defraud Markel, QBE and Amalfi Underwriting) from working in regulated financial services.

Article

Locke Lord LLP | United Kingdom | 9 Jul 2010

Financial Services Authority and Financial Reporting Council publish discussion paper on auditors' role in prudential regulation

On 30 June 2010, the UK's Financial Services Authority (FSA) and Financial Reporting Council (FRC) published a joint discussion paper (DP) entitled "Enhancing the auditor's contribution to prudential regulation".

Article

Locke Lord LLP | United Kingdom | 17 Jun 2010

The Financial Services Authority introduces temporary PPI rule

The Financial Services Authority (the FSA) has recently announced a temporary rule which will allow customers with complaints about the purchase of a payment protection insurance (PPI) policy more time within which to refer it to the Financial Ombudsman Service (the FOS).

Article

Locke Lord LLP | United Kingdom | 11 Jun 2010

UK client money deadline approaches

We have previously reported on the UK Financial Services Authority's (FSA) Client Money and Asset Report (the Report), published in January 2010

Article

Locke Lord LLP | United Kingdom | 11 Jun 2010

Financial Services Authority (FSA) publishes consultation paper on competence and ethics

The FSA has recently published a consultation paper entitled "Competence and ethics" (CP1012).

Article

Locke Lord LLP | United Kingdom | 26 May 2010

Report published on anti-bribery and corruption in commercial insurance broking

The Financial Services Authority (FSA) has recently published a report entitled "Anti-bribery and corruption in commercial insurance broking: Reducing the risk of illicit payments or inducements to third parties".

Article

Locke Lord LLP | United Kingdom | 5 May 2010

UK FSA consults on new powers under the Financial Services Act 2010

We reported recently on the passing of the Financial Services Act 2010 which granted the Financial Services Authority (FSA) new powers in a number of areas including reporting and control of short selling.

Article

Locke Lord LLP | United Kingdom | 22 Apr 2010

Report following resilience benchmarking survey of the insurance sector published

The Financial Services Authority (FSA) has recently published a report setting out findings from a resilience benchmarking survey of the insurance sector.

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