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The Approach of the FCA

As will be known, the FSA is scheduled to disappear at the end of next year as the UK moves to a new model of regulation (for a reminder of […] [...]

FSA Annual Report

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 […] [...]

FSA Performance

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 […] [...]

Decisions, Decisions

In Regulatory Roundup 22 mention was made of the FSA being given the power to publish decision notices as well as final notices. An enforcement case consists of a warning […] [...]

FSA Fees

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 […] [...]

Online Invoicing

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 […] [...]

FSA Business Plan 2011/12

The FSA has published its business plan setting out its priorities for 2011/12. Obviously regulatory reform is uppermost in the plan (section 1 contains further details on what is coming […] [...]

More on FSA Reform

The last Regulatory Roundup (Issue 26) contained articles covering the proposed revision of the regulatory system which would see the end of the FSA and the birth of the Consumer […] [...]

FSA Reform (1) – New Appointment

It has been announced that Martin Wheatley is to be the CEO of the Consumer Protection and Markets Authority (CPMA). Mr Wheatley, who was previously the CEO of the Hong […] [...]

FSA Reform (2) – Possible Delay

The Treasury Select Committee, which is looking at the reform of financial regulation, has published, in three volumes, a report which contains some interesting comments questioning the achievability (or wisdom) […] [...]

FSA Reform (3) – Progress

Putting the possibility of any delays to one side, the FSA is sending out a ‘Dear CEO’ letter from Hector Sants providing a progress update on the transition to the […] [...]

FSA Fees

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 […] [...]

FSA Business Plan & Financial Risk Outlook

As mentioned in the previous article, CP11/2 contains a summary business plan for 2011/12. Traditionally the FSA issues an annual Financial Risk Outlook (FRO) late January/early February – although last […] [...]

Corporate Governance: FSA Feedback

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 […] [...]

UCITS IV

The FSA and HM Treasury have issued a joint consultation on the implementation of UCITS IV. As will be known, there has been an increasing interest in UCITS since ‘the […] [...]

FSA Fees

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 […] [...]

FSA and Corporate Governance

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, […] [...]

Handbook Changes

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 […] [...]

Dan Waters on Remuneration

Dan Waters, the FSA’s Asset Management Sector Leader, gave an interesting speech at the AIMA Annual Conference which might provide some comfort for those in the asset management sector that […] [...]

FSA Formalise Co-operation with FINRA

The FSA have signed a Memorandum of Understanding with FINRA, the largest independent regulator for all securities firms doing business in the US. The MOU is now effective and provides […] [...]

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