Company: Financial Services Authority

213 results found

Systems were not up to the level customers are entitled to expect

Extensive discussions on all aspects of high-frequency trading

Britain’s FSA is considering more intrusive measures

He will work with FSA to prepare for the transition to the new regulatory structure

Interventions could include banning products or prohibiting the sale of certain products to specific groups of customers

FSA hits Barclays with record fine

RBS, Natwest settle with Financial Services Authority

The UK’s Financial Services Authority is defending its plans to reform regulation in the retail investment business.In a letter to the chair of the Commons Treasury Committee, FSA chief executive Hector Sants defends the regulator’s plan to reform retail regulation, including its plans to increase advisor proficiency requirements, do away with embedded commissions, and require […]

Bank made a series of ‘bad decisions’

UK regulator releases firm specific complaints data