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Financial Conduct Authority (FCA)

Financial Conduct Authority (FCA) (News)
Minutes: FCA Board 25 September 2014 has been published...
Financial Conduct Authority (FCA) (News)
Regulation round-up is FCA's monthly email to all regulated firms, updating you on the latest news which affects the sector you practice in...
Financial Conduct Authority (FCA) (News)
The service standards portfolio provides information about key areas of FCA's service, how the FCA is performing and how firms and consumers assess the levels of satisfaction with FCA's service...
Financial Conduct Authority (FCA) (News)
Speech by John Griffith-Jones, Chairman of the FCA, at The Association of Professional Financial Advisers Annual Gala Dinner delivered at Banking Hall, London...
Financial Conduct Authority (FCA) (News)
The FCA believes 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 FCA is taking action against Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd...
Financial Conduct Authority (FCA) (News)
The FCA has fined the Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd £42 million for IT failures which occurred in June 2012 and meant that the Banks’ customers could not access banking services...
Financial Conduct Authority (FCA) (News)
The FCA believes 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 been working with a number of major retail financial firms on a forward looking thematic review, aimed at identifying the areas that need improvement so that consumers get a better experience when they complain in future. This paper summarises the key findings of that work...
Financial Conduct Authority (FCA) (News)
Corporate Advances Ltd is in liquidation...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms the FCA authorises to try to convince people that they work for a genuine, authorised firm...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Final Notice, the FCA is taking action against Chase de Vere Independent Financial Advisers Limited...
Financial Conduct Authority (FCA) (News)
Financial firms have collaborated with the FCA on a thematic review and, as a result, have agreed to make improvements to the way they deal with consumer complaints...
Financial Conduct Authority (FCA) (News)
The FCA has fined Chase de Vere Independent Financial Advisers Limited £560,000 for failures surrounding the sale of Keydata products...
Financial Conduct Authority (FCA) (News)
Joint letter by FCA, PRA & HMRC in response to PCBS Recommendation 100 has been published...
Financial Conduct Authority (FCA) (News)
This report follows the Financial Services Authority’s 2011 report on Bank’s management of high money-laundering risk situations and the subsequent enforcement action and regulatory guidance...
Financial Conduct Authority (FCA) (News)
This report follows the Financial Services Authority’s 2010 report on Anti-bribery and corruption in commercial insurance broking and our subsequent regulatory guidance and enforcement action...
Financial Conduct Authority (FCA) (News)
The FCA invites views on amendments to FCA's regulatory guidance, Financial crime: a guide for firms...
Financial Conduct Authority (FCA) (News)
Speech by Martin Wheatley, Chief Executive of the FCA, at The Institute of Directors, London...
Financial Conduct Authority (FCA) (News)
The FCA has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk...
Financial Conduct Authority (FCA) (News)
Payment systems form a vital part of the UK’s financial system. Payment systems underpin the services that enable funds to be transferred between people and institutions...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms the FCA authorises to try to convince people that they work for a genuine, authorised firm...
Financial Conduct Authority (FCA) (News)
The new Payment Systems Regulator sets out how it proposes to regulate the £75 trillion payments industry when it becomes fully operational on 1 April 2015...
Financial Conduct Authority (FCA) (News)
Speech by John-Griffith Jones, FCA Chairman, at the CASS Business School, London. This is the text of the speech as drafted, which may differ from the delivered version...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms the FCA authorises to try to convince people that they work for a genuine, authorised firm...
Financial Conduct Authority (FCA) (News)
The FCA believes this firm has been providing financial services or products in the UK without FCA's authorisation...
Financial Conduct Authority (FCA) (News)
The FCA believes this firm has been providing financial services or products in the UK without FCA's authorisation...
Financial Conduct Authority (FCA) (News)
The FCA believes this firm has been providing financial services or products in the UK without FCA's authorisation...
Financial Conduct Authority (FCA) (News)
The FCA would like to draw the industry’s attention to the announcement by the Italian Commissione Nazionale per le Società e la Borsa which restricts transactions under Article 20(2)(b) of Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012. This is an extension of the ban previously imposed on 28 October 2014...
Financial Conduct Authority (FCA) (News)
The FCA is making more information about our performance available, by publishing key performance indicators...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms the FCA authorises to try to convince people that they work for a genuine, authorised firm...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Final Notice, the FCA is taking action against UBS AG...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Final Notice, the FCA is taking action against The Royal Bank of Scotland Plc...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Final Notice, the FCA is taking action against JPMorgan Chase Bank N.A...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Final Notice, the FCA is taking action against HSBC Bank Plc...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Final Notice, the FCA is taking action against Citibank N.A...
Financial Conduct Authority (FCA) (News)
The FCA has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358 million), HSBC Bank Plc £216,363,000 ($343 million), JPMorgan Chase Bank N.A. £222,166,000 ($352 million), The Royal Bank of Scotland Plc £217,000,000 ($344 million) and UBS AG £233,814,000 ($371 million)...
Financial Conduct Authority (FCA) (News)
The Senior Management Arrangements, Systems and Controls sourcebook (SYSC) is amended in accordance with Annex A to this instrument. The Supervision manual (SUP) is amended in accordance with Annex B to this instrument...
Financial Conduct Authority (FCA) (News)
The Consumer Credit sourcebook (CONC) is amended in accordance with the Annex to this instrument...
Financial Conduct Authority (FCA) (News)
The modules of the FCA Handbook of rules and guidance Glossary, LR and DTR are amended in accordance with the Annexes to this instrument...
Financial Conduct Authority (FCA) (News)
Speech by Linda Woodall, Director of Mortgage and Consumer Lending, Council of Mortgage Lenders Conference, London...
Financial Conduct Authority (FCA) (News)
In this Policy Statement the FCA reports on the main issues arising from Consultation Paper 14/10 (Proposals for a price cap on high-cost short-term credit) and publish the final rules...
Financial Conduct Authority (FCA) (News)
People using payday lenders and other providers of high-cost short-term credit will see the cost of borrowing fall and will never have to pay back more than double what they originally borrowed...
Financial Conduct Authority (FCA) (News)
This Handbook Notice introduces the Handbook and other material made by the FCA Board under its legislative powers on 25 September and 6 November 2014. It also contains information about other publications relating to the Handbook and, if appropriate, lists minor corrections made to previous instruments made by the Board...
Financial Conduct Authority (FCA) (News)
In a case brought by the FCA Julian Rifat a former senior execution trader at Moore Capital Management LLC has pleaded guilty to an indictment reflecting 8 instances of insider dealing. Profits from the dealing exceeded £250,000...
Financial Conduct Authority (FCA) (News)
In this Policy Statement the FCA reports on the main issues arising from Consultation Paper 14/12 (Removing the Transparency Directive’s requirement to publish interim management statements) and publish the final rules...
Financial Conduct Authority (FCA) (News)
In this Policy Statement the FCA & PRA report on the main issues arising from Consultation Paper FCA 14/19 PRA 17/14 (CRD IV: data collection on remuneration practices) and publishes the final rules...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms the FCA authorises to try to convince people that they work for a genuine, authorised firm...
Financial Conduct Authority (FCA) (News)
In this document, the FCA responds to the Competition and Markets Authority’s consultation on its provisional decision to refer the markets for personal current accounts and SME banking...
Financial Conduct Authority (FCA) (News)
The FCA believes this firm has been providing financial services or products in the UK without FCA's authorisation...
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