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Financial Conduct Authority (FCA)

Financial Conduct Authority (FCA) (News)
FCA's recent work in the structured products market has focused on better understanding consumer behaviour and the way that firms approach product development and governance...
Financial Conduct Authority (FCA) (News)
This paper describes the results of a survey which investigated how well consumers understand and value structured deposits, a class of complex products...
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)
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)
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)
This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PRIN 11 related to financial crime risks and failure to be open and cooperative with the Authority...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of APER 4 related to failure to be open and cooperative with the Authority...
Financial Conduct Authority (FCA) (News)
The Bank of Beirut (UK) Ltd has been fined £2.1m by the FCA and stopped from acquiring new customers from high-risk jurisdictions for 126 days. In addition, the FCA has fined two approved persons at the bank...
Financial Conduct Authority (FCA) (News)
A behavioural economics research paper published by the FCA has found that many consumers overestimate the expected returns on structured deposits...
Financial Conduct Authority (FCA) (News)
The FCA has published a consultation paper on proposed changes to its pension transfer rules, designed to reflect the Government’s new flexible pensions regime...
Financial Conduct Authority (FCA) (News)
The Meeting noted there was a quorum present and proceeded to business...
Financial Conduct Authority (FCA) (News)
The European Banking Authority has published draft guidelines on remuneration policies for public consultation...
Financial Conduct Authority (FCA) (News)
The FCA is consulting on proposed changes to our rules which will be necessary following a proposed amendment to the Financial Services and Markets Act 2000 (Regulated Activities) Order 200 that will make advising on the conversion or transfer of safeguarded pension benefits into flexible benefits a regulated activity...
Financial Conduct Authority (FCA) (News)
It is with deep sadness that the FCA has learned that non-executive director, David Harker, passed away...
Financial Conduct Authority (FCA) (News)
Following the publication of the joint FCA/PRA consultation papers in July and December 2014 on Strengthening Accountability in Banking, the Treasury has announced that the commencement date for the new Senior Managers and Certification Regime will be 7 March 2016 and that transitional documentation will need to be submitted to the regulators by 8 February 2016...
Financial Conduct Authority (FCA) (News)
Paul Coyle, the former Group Treasurer and Head of Tax at Wm Morrison Supermarkets plc, pleaded guilty to two counts of insider dealing and has been sentenced to 12 months imprisonment...
Financial Conduct Authority (FCA) (News)
The FCA has confirmed final rules which will require firms operating workplace pension schemes to implement a charge cap for default funds used for automatic enrolment...
Financial Conduct Authority (FCA) (News)
This Handbook Notice introduces the Handbook and other material made by the FCA Board under its legislative powers on 29 January 2015, and 26 February 2015...
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)
This call for evidence is a joint publication between the Department for Work and Pensions and the FCA...
Financial Conduct Authority (FCA) (News)
In this Policy Statement the FCA publishes the final rules in respect of retirement risk warnings...
Financial Conduct Authority (FCA) (News)
In this Policy Statement the FCA has published the final rules in respect of retirement risk warnings...
Financial Conduct Authority (FCA) (News)
New rules published by the FCA will help to protect consumers wanting to access their pension savings from 6 April 2015 by requiring firms involved in the sale of retirement income products to give additional warnings tailored to them...
Financial Conduct Authority (FCA) (News)
The FCA and the Department for Work and Pensions have published a joint call for evidence on the disclosure of transaction cost information for workplace pension schemes...
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)
In a case brought by the FCA Ryan Willmott, formerly Group Reporting and Financial Planning Manager for Logica PLC, has pleaded guilty to three instances of insider dealing...
Financial Conduct Authority (FCA) (News)
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the AFME's Annual European Market Liquidity Conference...
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...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms registered to carry out financial services activities to try to convince people that they work for a genuine, registered firm...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms registered to carry out financial services activities to try to convince people that they work for a genuine, registered firm...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms registered to carry out financial services activities to try to convince people that they work for a genuine, registered firm...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector...
Financial Conduct Authority (FCA) (News)
The FCA has fined Aviva Investors Global Services Limited £17,607,000 for systems and controls failings that meant it failed to manage conflicts of interest fairly...
Financial Conduct Authority (FCA) (News)
Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event...
Financial Conduct Authority (FCA) (News)
Non-Executive Directors with specific responsibilities, such as Chairman, will come under the new Senior Managers Regime, the FCA and Prudential Regulation Authority confirmed...
Financial Conduct Authority (FCA) (News)
Research published by the FCA reveals that some vulnerable consumers seeking help from financial providers are meeting a computer says no approach, putting them at risk of further detriment...
Financial Conduct Authority (FCA) (News)
This consultation paper proposes a set of rules that will apply to UK banks, building societies, credit unions, PRA-designated investment firms and insurance and reinsurance firms, including third country branch undertakings, within the scope of Solvency II, and to the Society of Lloyd’s and managing agents...
Financial Conduct Authority (FCA) (News)
This paper sets out the our revised approach to independent non-executive directors in UK banks, building societies, credit unions and PRA-designated investment firms and Solvency II firms...
Financial Conduct Authority (FCA) (News)
This paper outlines our proposed policy changes to our consumer credit regime...
Financial Conduct Authority (FCA) (News)

This Occasional Paper aims to:

  • Broaden understanding and stimulate interest and debate around vulnerability.
  • Provide practical help and resources for firms in developing and implementing a vulnerability strategy.
  • Show examples of good practice in the way some firms treat consumers in vulnerable circumstances. It, however, highlights a number of those who have not received fair treatment from their firms.
Financial Conduct Authority (FCA) (News)
The FCA believes this firm has been carrying out consumer credit activities in the UK without FCA's permission or authorisation...
Financial Conduct Authority (FCA) (News)
As the UK Listing Authority, the FCA oversees the listing, transparency and prospectus regimes...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms registered to carry out financial services activities to try to convince people that they work for a genuine, registered 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 has been working with the liquidator of the Connaught Series 1 Fund and its former operators, Capita Financial Managers Limited and Blue Gate Capital Limited to see if an agreement can be reached to address losses by investors in the Fund...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms registered to carry out financial services activities to try to convince people that they work for a genuine, registered firm...
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)
This paper reports on the main issues arising from Discussion Paper DP14/3: Discussion on the use of dealing commission regime, and sets out next steps...
Financial Conduct Authority (FCA) (News)
This paper reports on the main themes arising from the responses to the call for inputs for the wholesale sector competition review, and sets out next steps for the review...
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