The Regulator issued its Annual Report (the FSA’s year is to 31 March), the purpose of which is to provide details of what it has done. At 178 pages it […] [...]

The Regulator has published its latest set of performance results for service standards and customer satisfaction for the period 1 October 2010 to 31 March 2011. There are 54 service […] [...]

Policy Statement PS11/7 concerning regulatory fees has been issued and acts as a useful reminder that firms can expect to be invoiced by the FSA in June in respect of […] [...]

As some firms will be aware, following a pilot scheme the FSA is rolling out invitations to register for Online Invoicing which will allow firms to review their fees account […] [...]

It’s that time of the year again when the FSA publishes proposals for the level of FSA fees payable for the year (the FSA year runs from 1 April to […] [...]

The FSA has issued a guidance consultation/feedback on governance. Although it is headed ‘Governance in retail firms’ the content is also relevant to wholesale firms. The feedback stems from a […] [...]

As will be known, FSA Fees are governed by which FSA Fee-Block(s) a firm falls under, e.g. Fund managers are A007 and ‘Advisory only firms and advisory, arrangers, dealers, or […] [...]

The speech by the FSA’s Rosalie Langley Judd and the publication of PS10/15 (‘Effective corporate governance’ – see previous article in this Regulatory Roundup on Approved Persons) serve to demonstrate, […] [...]

Unlike its title (‘Decision Procedure and Penalties manual and Enforcement Guide review 2010’) CP10/23 is a short Consultation Paper concerning some handbook changes brought about by the Financial Services Act […] [...]

The FSA previously maintained a Document Viewing Facility (DVF) in the reception of the FSA building at 25 North Colonnade, Canary Wharf. This provided access to documents made public by […] [...]