United Kingdom

Financial Conduct Authority (FCA)

Financial Conduct Authority (FCA) (News)
This document lists the minor corrections and clarifications that we have made to the Handbook, other than those made by Handbook Administration instrument. These changes are regarded as having no legal effect. None of these changes represents a change in policy...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms the FCA authorise to try to convince people that they work for a genuine, authorised firm...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms the FCA authorise to try to convince people that they work for a genuine, authorised firm...
Financial Conduct Authority (FCA) (News)
The FCA believe this firm has been providing financial services or products in the UK without FCA's authorisation...
Financial Conduct Authority (FCA) (News)
The FCA believe this firm has been providing financial services or products in the UK without FCA's authorisation...
Financial Conduct Authority (FCA) (News)
In a prosecution brought by the Financial Conduct Authority Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has been sentenced to 18 months reduced with credit to 12 months on two counts of insider dealing. A confiscation order was also made in the sum of £149,861.27 and costs awarded to the FCA of £83,225.62...
Financial Conduct Authority (FCA) (News)
Understanding the social and psychological influences on decision making is important to improving regulatory compliance, according to FCA economist Peter Lukacs...
Financial Conduct Authority (FCA) (News)
On 19 December 2016 ESMA published Q&A on the process of how it delivers opinions to national competent authorities on pre-trade transparency waivers...
Financial Conduct Authority (FCA) (News)
The FCA believe this firm has been providing financial services or products in the UK without FCA's authorisation...
Financial Conduct Authority (FCA) (News)
The FCA are consulting on their fourth set of implementation proposals for MiFID II and seeking views on their proposed changes to the FCA Handbook...
Financial Conduct Authority (FCA) (News)
This paper discusses the factors that influence effective compliance and provides suggestions for how regulators and firms can improve levels of compliance...
Financial Conduct Authority (FCA) (News)
This paper looks into the basic economic theory of incentives and how they can be used to enhance compliance in financial regulation...
Financial Conduct Authority (FCA) (News)
The meeting noted there was a quorum present and proceeded to business...
Financial Conduct Authority (FCA) (News)
The Payment Systems Regulator has published its response to the Which? super-complaint regarding consumer safeguards in the market for push payments...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms the FCA authorise to try to convince people that they work for a genuine, authorised firm...
Financial Conduct Authority (FCA) (News)
The FCA believe this firm has been providing financial services or products in the UK without FCA's authorisation...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms the FCA authorise to try to convince people that they work for a genuine, authorised firm...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms the FCA authorise to try to convince people that they work for a genuine, authorised firm...
Financial Conduct Authority (FCA) (News)
The FCA believe this firm has been providing financial services or products in the UK without FCA's authorisation...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Final Notice, the Authority hereby takes the following action against LCSL...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
The FCA believe this firm has been providing financial services or products in the UK without FCA's authorisation...
Financial Conduct Authority (FCA) (News)
The Financial Conduct Authority has announced that it is inviting views on the future funding of the Financial Services Compensation Scheme and has also launched a consultation on a number of specific changes to its scheme rules...
Financial Conduct Authority (FCA) (News)
Regulation round-up is FCA's monthly email to all regulated firms, updating you on the latest news that affects your sector...
Financial Conduct Authority (FCA) (News)
This Consultation Paper opens up discussion on the funding of the Financial Services Compensation Scheme (FSCS) and consults on a number of specific changes to the scheme rules.
Financial Conduct Authority (FCA) (News)
We are publishing our final rules for firms when dealing with customers experiencing a payment shortfall, following our consultation in CP16/16.
Financial Conduct Authority (FCA) (News)
This instrument makes small changes to the Pension Wise standards to reflect how consumers are currently using them and how the service itself has evolved since it was created. This instrument comes into force on 9 December 2016.
Financial Conduct Authority (FCA) (News)
The Financial Conduct Authority (FCA) has found that many firms are improving the way they deal with customers in early arrears. However, there are a number of areas where consumer credit firms still need to improve their practices.
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’.
Financial Conduct Authority (FCA) (News)
Pension providers have made significant progress towards meeting the recommendations of the Independent Project Board, to reduce cost and charges, according to a new report published today by the Financial Conduct Authority and the Department for Work and Pensions...
Financial Conduct Authority (FCA) (News)
This report summarises the findings from the Department for Work and Pensions and the Financial Conduct Authority’s joint review of industry progress in remedying poor value workplace pension schemes...
Financial Conduct Authority (FCA) (News)
This report provides the findings from FCA's thematic review into early arrears management in unsecured lending...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
The Financial Conduct Authority has published its finalised guidance providing firms with detailed information on the actions they should be taking in order to treat their closed-book customers fairly...
Financial Conduct Authority (FCA) (News)
The Financial Conduct Authority has given an update on the post-implementation review of the loan-based and investment-based crowdfunding market...
Financial Conduct Authority (FCA) (News)
The FCA are consulting on proposals to update the notes for completion of the MLAR and to make a minor change to our second charge mortgage reporting form (MLA-D1)...
Financial Conduct Authority (FCA) (News)
The FCA have published the terms of reference for our mortgages market study, which will focus on consumers’ ability to make effective choices in the first charge residential mortgage market...
Financial Conduct Authority (FCA) (News)
The Financial Conduct Authority has launched a market study to consider whether competition in the mortgage sector can be improved to benefit consumers...
Financial Conduct Authority (FCA) (News)
This Handbook Notice introduces the Handbook and other material made by the Financial Conduct Authority (FCA) Board under its legislative powers on 10 November and 8 December 2016, and rules and standard terms also made by the Financial Ombudsman Service on 23 November 2016...
Financial Conduct Authority (FCA) (News)
In this Finalised Guidance the FCA set out their expectations on the actions life insurance firms should take to treat their closed-book customers fairly...
Financial Conduct Authority (FCA) (News)
In this Feedback Statement, the FCA report on the main issues arising from the Call for Input to the post-implementation review of the FCA’s crowdfunding rules and set out FCA's next steps...
Financial Conduct Authority (FCA) (News)
In Consultation Paper 16/20 (August 2016), the FCA published proposals for rules and guidance on payment protection insurance complaints (PPI)...
Financial Conduct Authority (FCA) (News)
The FCA believe this firm has been providing financial services or products in the UK without FCA's authorisation...
Financial Conduct Authority (FCA) (News)
This instrument makes changes to introduce a 12-month transitional provision for calculating 2017/2018 periodic fees (and levies for the Financial Ombudsman Service) for directive and non-directive insurance firms. The changes will also enable us to collect our annual funding requirement according to timetable. This instrument comes into force on 9 December 2016...
Financial Conduct Authority (FCA) (News)
This instrument makes changes to clarify our Handbook provisions for RRD entities, making them easier to understand and aiding compliance. This instrument comes into force on 9 December 2016...
Financial Conduct Authority (FCA) (News)
Editorial Note: not all Instrument numbers are used and this document confirms that the Instrument number above has not been allocated to a rule-making Instrument...
Financial Conduct Authority (FCA) (News)
This instrument makes changes to ensure that individuals, small businesses and small charities are aware of the risks surrounding investing in subordinated debt and deferred shares and to increase consumer and investor protection. This instrument comes into force on 3 January 2017...
Financial Conduct Authority (FCA) (News)
This instrument makes changes to ensure that APRs are calculated in a consistent way that will promote the comparability of different offers. This instrument comes into force on 9 March 2017...
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