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BNET Business Dictionary
- Financial Services Authority
- an independent non-governmental body formed in 1997 following reforms in the regulation of financial services. Banking and investment services supervision was merged into the remit of the previous regulator, the...
- Financial Services Authority definition on BNET »
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- Hedge Funds and the FSA
- The recent changes to both the hedge fund market and the structure of regulation in the UK, offers a good opportunity to set out the effects of the regulatory regime on hedge fund activities in the UK and consider whether any changes to the regime are appropriate. The two main...
- White papers 2002-08-01
- Cross-Sector Risk Transfers
- The recent growth of products that facilitate the transfer of risk between sectors of the financial services industry has generated media and industry debate, and attracted the interest of regulatory organizations worldwide. Banks transfer credit risk to each other, and to other types of firm, in various ways. This paper...
- White papers 2002-05-01
- Reporting Requirements for Mortgage, Insurance and Investment Firms, and Audit Requirements for Insurance Intermediaries
- This white paper document basically presents how to supervise firms effectively, for which it needs to have a good understanding of the business being carried on by each firm. This Guide summarizes the rules and guidance for our new reporting and audit requirements. These were initially set out in Consultation...
- White papers 2004-03-01
- Hedge Funds: A Discussion of Risk and Regulatory Engagement
- This paper is addressed to investment managers and advisors, hedge fund counterparties including prime brokers, institutional investors, commentators and analysts. It is not addressed to UK retail investors. It encourages a discussion of how UK-based hedge fund managers were regulated and the limitations of the authority over their activities. In...
- White papers 2005-06-01
- Insurance Sector Briefing: Principles & Practices of Financial Management
- As one of a number of reforms to the way in which the FSA regulates insurers, since April 2004 with-profits insurance firms have been required to set out the way in which they run their with-profits funds in a document called the Principles and Practices of Financial Management PPFM. The...
- White papers 2005-10-01
- Operational Risk Management Practices
- The FSA's Principles for Businesses include a requirement for adequate risk management systems. These include systems for managing Operational Risk OR. This paper sets out the findings from the authors' review of OR management practices in eight firms. The purpose of this paper is to enhance industry awareness. The aim...
- White papers 2005-02-01
- New Banking Regulations Will Hit All Boards
- The US reaction to the Enron collapse was the stifling Sarbanes Oxley legislation. Britain does things differently, preferring the soft law of best-practice guidelines, but we do it more often. It is just six years since the Higgs code was imposed on UK companies but already it is being reviewed...
- Blog posts 2009-07-27
Additional Resources
- FINANCIAL SERVICES AUTHORITY: FSA starts supervising banks and delivering regulatory services to the SROS
- M2 PRESSWIRE-2 June 1998-FINANCIAL SERVICES AUTHORITY: FSA starts supervising banks and delivering regulatory services to the SROS C1994-98 M2 COMMUNICATIONS LTD RDATE:010698 The Financial Services Authority FSA has today assumed responsibility from the Bank of England for the supervision of banks and also has...
- Research articles 1998-06-02
- FINANCIAL SERVICES AUTHORITY: FSA conference opens debate on future challenges for European regulation
- M2 PRESSWIRE-2 June 1998-FINANCIAL SERVICES AUTHORITY: FSA conference opens debate on future challenges for European regulation C1994-98 M2 COMMUNICATIONS LTD RDATE:010698 At a conference hosted today by the Financial Services Authority FSA, the challenges and opportunities faced by European financial regulators in European markets...
- Research articles 1998-06-02
- SEC, UK FSA sign landmark regulatory cooperation arrangement.(front page)(Securities and Exchange Commission)(United Kingdom Financial Services Authority)(Brief article)
- The Securities and Exchange Commission and the United Kingdom Financial Services Authority signed a comprehensive arrangement to increase cooperation in market oversight and supervision. The landmark arrangement will facilitate the exchange of conf The Securities and Exchange Commission and the United Kingdom Financial...
- Research articles 2006-05-01
- LogicaCMG to Resell the UK Financial Services Authority's Transaction Reporting System.
- LONDON, October 11 /PRNewswire/ -- LogicaCMG (LSE: LOG) announces today that it has signed an agreement with the UK Financial Services Authority FSA to market and sub-licence the FSA's Transaction Reporting System TRS. LONDON, October 11 /PRNewswire/ -- ...
- Research articles 2006-10-11
- Financial Services Authority confirms Staffordshire Building Society merger with the Portman Building Society.
- M2 PRESSWIRE-27 November 2003-UK Government: Financial Services Authority confirms Staffordshire Building Society merger with the Portman Building SocietyC1994-2003 M2 COMMUNICATIONS LTD RDATE:11272003 The Financial Services Authority today announced that it has confirmed the proposed transfer of the engagements of the Staffordshire...
- Research articles 2003-11-27
- Convergys Receives Accreditation From the UK's Financial Services Authority
- CINCINNATI & NEWCASTLE-UPON-TYNE, UK -- Convergys Corporation (NYSE:CVG), a global leader in integrated billing, employee care, and customer care services, announced today it has received accreditation from the UK's Financial Services Authority FSA.
- Research articles 2005-02-07
- Regulator welcomes US rethink.(John Tiner of Financial Services Authority)
- Feb 14, 2005 (The Australian Financial Review - ABIX via COMTEX) The US has decided to revisit its Sarbanes-Oxley rules. The US Securities & Exchange Commission is relaxing restrictions applying to foreign-listed companies trading in the US. The move is a good professional reform,...
- Research articles 2005-02-14
- Tiner's tightrope; The City.(Regulating the City)(John Tiner be chief executive, and Callum McCarthy to be chariman of Unied Kingdom Financial Services Authority)
- The City has thrived because of light regulation. A heavier-handed approach may be on its way IN HIS career, Sir Howard Davies has been, inter alia, deputy governor of the Bank of England, boss of the Confederation of British Industry, and a consultant at...
- Research articles 2003-09-20
- OPINION: UK Financial Services Authority Stumbles Slowly on Regulatory Path.
- By Ben Wright, Sunday Business, London Knight Ridder/Tribune Business News May 16--Former UK financial watchdog Howard Davies once said it had become fashionable to think of regulators as Shakespeare's "caterpillars of the commonwealth," creatures that get in the way of the...
- Research articles 2004-05-16
- A leap into the dark. (UK's Financial Services Authority)(FBSA 50th Anniversary: International Banking in London)
- The newly formed Financial Services Authority FSA integrates nine of UK's financial regulatory bodies into one. The FSA, launched on Oct 28, 1997, will be responsible for policy, authorization of firms and vetting of individuals, consumer relations and supervision as well as enforcement and discipline. Bank of England Executive Dir...
- Research articles 1997-12-01
- World Updates; FSA floats capital rules for Lloyd's companies.(International)(Financial Services Authority)
- The United Kingdom's insurance regulator has proposed new risk-based capital rules for business written at Lloyd's of London. Under the Financial Services Authority's proposed rules, slated for introduction next year, Lloyd's managing agents would have to assess the financial resources needed to support the risks stemming...
- Research articles 2004-05-10
- Senior appointments at the Financial Services Authority.
- M2 PRESSWIRE-22 March 2002-UK Government: Senior appointments at the Financial Services Authority C1994-2002 M2 COMMUNICATIONS LTD RDATE:22032002 The FSA Board has made three appointments at Director level, it was announced today. Vernon Everitt is promoted to Director of Human...
- Research articles 2002-03-22
- Britain's Financial Services Authority Obtains Full Legal Powers.
- Daily Mail, London Knight Ridder/Tribune Business News Nov. 30--The Financial Services Authority gets its full set of teeth today, four-and-a-half years after it was sired by the Treasury out of the Bank of England. Chairman Sir Howard Davies hailed its assumption of...
- Research articles 2001-11-30
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