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News items | 01 Nov 2011
The Financial Services Authority (FSA) has fined a former Compliance Officer £14,000, reduced from £20,000 for settlement, and banned her from performing any significant influence function in regulated financial services for breaching Principle 6 of the FSA's Statements of Principle for Appro...
News items | 01 Nov 2011
The Financial Services Authority (FSA) has issued its largest ever retail fine of £10.5 million to HSBC because of inappropriate investment advice provided by one of its subsidiaries, NHFA Limited (NHFA) to elderly customers. HSBC estimates that the amount of compensation to be paid to NHFA c...
News items | 01 Jul 2011
The Financial Services Authority (FSA) has published its long-awaited paper The Financial Conduct Authority - Approach to regulation. The document proposes how the FCA, which assumes responsibility for protecting consumers and markets' regulation from the end of 2012, will deliver its objec...
News items | 01 Dec 2011
The Financial Services Authority (FSA) has now published its new regulatory guide which is entitled Financial Crime - guide for firms. The Guide does not introduce any new requirements for firms and its contents are not binding, rather it consolidates existing FSA information on the followi...
News items | 01 Nov 2011
The FSA has appointed Paul Stockton as non‑executive director to the Board of the Financial Services Compensation Scheme (FSCS) with effect from 1 December 2011. Paul is currently Group Finance Director at Rathbone Brothers plc (a FTSE 250 company). He has gained exposure to a wide range of...
News items | 01 Nov 2011
The Financial Services Authority (FSA) has announced the appointment of Sir Nicholas Montagu KCB as the new chairman of the Financial Ombudsman Service (FOS). The service settles complaints between consumers and businesses providing financial services.
News items | 01 Jun 2011
Tracey McDermott, acting director of enforcement and financial crime at the Financial Services Authority (FSA), has highlighted the continuing importance of financial crime within the future UK regulatory landscape. Speaking at the FSA's financial crime conference, Tracey McDermott explained ...
Research | 18 Apr 2013
A new regulatory regime has been established in the UK. Following the passage of the Financial Services Act 2012, the ground was set for the abolition of the Financial Services Authority and the creation of three new regulatory bodies: the Financial Conduct Authority, the Prudential Regulat...
News items | 24 May 2012
Hector Sants, outgoing Chief Executive of the Financial Services Authority (FSA), warned in his last speech that urgent action was needed to deliver effective corporate governance crucial to bringing about trustworthy financial markets and institutions which acted in the interests of everyo...
 
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