enforcement
Your profession
A ‘fake' stockbroker has been sentenced to 15 months imprisonment for dishonesty including theft, the FSA has confirmed.
13 February 2008
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Your profession
Norwich Union Life has been fined £1.26m by the FSA for failing to protect its customers' confidential information and manage its financial crime risks.
17 December 2007
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Your profession
The FSA has banned four individuals for dishonest behaviour when passing reinsurance business to Sphere Drake Insurance Limited.
14 December 2007
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Mortgages
The FSA has banned one mortgage broker and fined two others for sub-prime failings, it announced this morning.
19 November 2007
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Mortgages
The FSA has fined an adviser firm £10,500 for exposing consumers to the risk of being sold unsuitable equity release products.
18 October 2007
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Your profession
The FSA will slash its enforcement staff by 20% as it bids to construct a more qualified and experienced team.
16 August 2007
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Your profession
The Financial Services Authority is proposing to make changes to the enforcement and decision making sections of its handbook, claiming it will make the material shorter and simpler.
10 January 2007
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Your profession
The Financial Services Authority is considering the use of "creative penalties" in the financial services sector as an alternative to imposing blanket fines on firms.
24 February 2006
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Your profession
The Financial Services Authority has implemented a policy which aims to make its enforcement process more transparent and fair, following criticisms by the Financial Services and Markets Tribunal in January.
21 October 2005
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Your profession
The Financial Services Authority should separate the team investigating regulatory breaches and the team which decides whether to take action against companies, suggests a review of the FSA's enforcement action process.
20 July 2005
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