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07 Nov 2009 04:52
6 November Press release Arrest made as FSA continues clamp down on share fraud 6 November Newsletter Mortgage lenders’ Round-up - Issue 1 [PDF] 6 November Handbook publication Handbook Notice 94 [PDF] -
06 Nov 2009 06:30
6 November FSA sets out new prudential regime for personal investment firms 6 November Policy statement PS09/19: Review of the prudential rules for Personal Investment Firms (PIFs) Feedback to P08/20 and CP09/20 (Chapter 11) 6 November Policy statement PS09/18: Financial Services Compensation Scheme reform Single customer view - verification 6 November Policy statement PS09/17: Close links - feedback on CP07/21 5 November 4 November 2 November 2 November Press release 2 November 06/11/09 -
05 Nov 2009 14:44
05 November Press release FSA fines UBS £8million for failing to prevent employees carrying out unauthorised transactions with customer money 04 November Press release Former corporate broker intern and father found guilty of insider dealing 5 August Final notice UBS AG [PDF] 05/11/09 -
04 Nov 2009 05:43
21 October Miscellaneous Letter to Compliance Officers: Our Conduct of Business Sourcebook (COBS) projection rules for non-MiFID products [PDF] 04/11/09 -
02 Nov 2009 16:58
02 November Handbook publication Handbook Development (Issue 116) [ PDF ] 02 November Press release FSA chairman says 'no silver bullet' to address 'too-big-to-fail' challenge 02 November Speech by Adair Turner Large systemically important banks: addressing the too-big-to-fail problem 02/11/09 -
31 Oct 2009 03:28
29 October Speech by Adair Turner Examining the causes of the financial crisis 30/10/09 -
29 Oct 2009 06:28
29 October Press release GMAC-RFC Limited fined £2.8million for unfair treatment of customers in arrears and repossessions and will pay up to £7.7m customer redress 29 October Final notice GMAC-RFC Limited [PDF] 28 October Final notice Red Carpet Estates [PDF] 28 October Final notice Penwood Properties Limited [PDF] 28 October Press release FSA begins new banking regulation to promote fairness for consumers 29/10/09 -
28 Oct 2009 04:23
28 October Press release Swinton to offer refunds on over 480,000 PPI policies following FSA intervention 28 October Final notice Swinton Group Limited [PDF] 27 October Press release FSA takes action to help investors with Lehman-backed structured products 26 October Statement Lehman-backed structured products - update 26 October Press release FSA announces tough new code for financial reporting disclosure 26 October Discussion paper DP09/5: Enhancing financial reporting disclosures by UK credit institutions 28/10/09 -
23 Oct 2009 21:31
23 October Final notice Friends Provident [PDF] 23/10/09 -
22 Oct 2009 19:57
22 October Press release FSA publishes further analysis on systemically important banks and the cumulative impact of capital and liquidity reform 22 October Discussion paper Turner Review Conference Discussion Paper 22/10/09
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