The FSA has published a business plan and risk outlook for the Financial Conduct Authority (FCA), stating how the new authority will protect both the needs of customers and the integrity of the financial services industry.
Fyshe Horton Finney Stockbrokers and DFM has voluntarily entered the Special Administration Regime (SAR), the FSA has confirmed.
Following a misinterpretation of how the FSCS levy is caculated, Walker Crips has paid an extra £440,000 for its financial years ending in 2011 and 2012 on behalf of its stockbroking arm.
From next month there will be a new regulator in town, and advisers should expect some differences in approach. Find out how to prepare your firm for the FSA's souped-up successor – the FCA.
The FSA has not ruled out using mystery shoppers in its thematic review of execution-only and non-advised services which is planned for the second half of the year, it confirmed.
A futures trader has been jailed for four years for insider trading between September 2007 and July 2008.
Stephen Danner, one of the co-founders of Cru Investment Management has escaped being fined by the FSA due to his “financial position” even as advisers face paying millions in redress for mis-selling the Arch cru funds.
A former Legal and General Investment Management (LGIM) equities trader has been jailed for insider dealing.
It is not surprising companies do not grant access privileges to potential investors of minute amounts of their stock in the same way as they would to one of the “majors” looking to buy 3%, according to IMA director of institutional Guy Sears.
The fact that they are attracting the negative 'cash for access' headlines that appeared yesterday is a sure sign that the FSA has its eye firmly on asset management houses. But are the headlines justified?
The FSA was too narrowly focused in its handling of Libor related information and the information should have been better managed, its Internal Audit Report on inappropriate Libor submissions concluded.
The FSA has published a discussion paper looking at increased transparency and disclosure in financial services. So what are the aspects of your company it wants to share with the world?
