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Financial Conduct Authority (FCA)

Financial Conduct Authority (FCA) (News)
The directions and policies set out in the FCA's Policy Statement lay the ground work for delivering the FCA's objectives...
Financial Conduct Authority (FCA) (News)
The FCA is consulting on fees for regulated firms for the 2015/16 financial year...
Financial Conduct Authority (FCA) (News)
The FCA is seeking early views from firms, trade bodies and consumer groups on how it might implement certain aspects of the recast Markets in Financial Instruments Directive, known as MiFID II...
Financial Conduct Authority (FCA) (News)
The FCA has confirmed that it will proceed with the recommendations from its retirement income market study...
Financial Conduct Authority (FCA) (News)
The FCA has announced plans to ban opt-out selling in financial services markets...
Financial Conduct Authority (FCA) (News)
In March 2015, the FCA published the final findings of retirement income market study and proposed remedies...
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 FCA is launching a discussion on certain aspects of the revised Markets in Financial Instruments Directive (MiFID II) ahead of formal consultation later in 2015...
Financial Conduct Authority (FCA) (News)
The FCA has received the judgment from The Court of Appeal hearing for Capital Alternatives and others which took place on 27 and 28 January 2015...
Financial Conduct Authority (FCA) (News)
In a joint consultation with the Prudential Regulation Authority (PRA), the FCA is proposing changes to regime for regulating key individuals in firms subject to the Solvency II Directive...
Financial Conduct Authority (FCA) (News)
The FCA is consulting on amending regime for regulating key individuals and governance arrangements in insurers...
Financial Conduct Authority (FCA) (News)
The FCA is consulting on proposed 2015/16 regulatory fees and levies...
Financial Conduct Authority (FCA) (News)
The FCA is consulting on proposals to improve the add-on sales mechanism to help customers make better decisions when buying add-ons to general insurance products...
Financial Conduct Authority (FCA) (News)
The FCA publishes consultation paper on their policy for making recommendation to the designated guidance providers and the Treasury...
Financial Conduct Authority (FCA) (News)
This illustration example is for applicants seeking waivers or modifications of requirements under the Consumer Credit Agreements) Regulations 1983 (as amended), for agreements secured on land (typically shared equity mortgage agreements)...
Financial Conduct Authority (FCA) (News)
CPP card and identity protection policyholders were able to claim compensation for mis-sold policies...
Financial Conduct Authority (FCA) (News)
The FCA tooks Capital Alternatives and several other firms and individuals to court over their promotion and operation of collective investment schemes...
Financial Conduct Authority (FCA) (News)
Last April the PSR was little more than an idea, a handful of people working on ‘the PSR project’...
Financial Conduct Authority (FCA) (News)
The Payment Systems Regulator (PSR), the new economic regulator for payment systems, has confirmed how it will regulate the industry from 1 April 2015...
Financial Conduct Authority (FCA) (News)
In this Annual Plan and Budget 2015/16 the FCA sets out their key aims and activities for the year 2015/16...
Financial Conduct Authority (FCA) (News)
Payments infrastructure allows customers to make and receive payments. It is the hardware, software, connections and operating environments used across all levels of a payment system...
Financial Conduct Authority (FCA) (News)
Allowing customers, including consumers, businesses and charities, to receive and make payments requires payment service providers (PSPs), like banks or credit unions, to have access to the payment systems...
Financial Conduct Authority (FCA) (News)
This Policy Statement confirms how the FCA will regulate the payment systems industry from 1 April 2015, and reports on the main issues arising from Consultation Paper PSR CP 14/1..
Financial Conduct Authority (FCA) (News)
FCA's Business Plan sets out the activities that the FCA intend to carry out in 2015/16 to protect consumers, enhance market integrity and promote competition...
Financial Conduct Authority (FCA) (News)
The FCA has set out the key areas of work it will undertake in the forthcoming financial year with the publication of its Business Plan for 2015/16...
Financial Conduct Authority (FCA) (News)
This decision notice refers to breaches of Threshold Conditions related to threshold conditions in the Consumer Credit sector...
Financial Conduct Authority (FCA) (News)
2014/15 Interim levy: £20m on firms in the Life and Pensions Intermediation funding class for the costs of Self Invested Personal Pensions related claims...
Financial Conduct Authority (FCA) (News)
As the radical changes to the pension system that will allow people to access their pension pot come into force next month, the FCA is urging people to be ScamSmart and on the look-out for dodgy investment scams...
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)
This joint consultation between the Treasury and the FCA sets out in broad terms the proposed amendments to FSMA and details of the FCA’s proposed amendments to the DTRs (including the text of the proposed rule changes) that are required as a result of the TDAD modifications...
Financial Conduct Authority (FCA) (News)
John Griffith-Jones responds to the Christine Farnish review of the Money Advice Service has been published...
Financial Conduct Authority (FCA) (News)
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd have been banned from senior positions in financial services by the FCA...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety, and conflicts of interests in the investment adviser sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety, and conflicts of interests in the investment adviser sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of Threshold Conditions, PRIN 11, failing to be open and co-operative in the General Insurance Intermediary sector...
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)
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)
This paper reports findings from our thematic review on governance over mortgage-lending strategies. The review assessed the quality of firms’ governance from a conduct perspective, when setting or amending lending strategies...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of Threshold Conditions, PRIN 11 related to failing to be open and co-operative in the Designated Investment Business sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of APER 1 related to client money/assets, and lack of fitness/propriety in the asset management sector...
Financial Conduct Authority (FCA) (News)
In a case brought by the FCA, Julian Rifat - a former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC - has been sentenced at Southwark Crown Court to 19 months imprisonment; Mr Rifat has also been fined £100,000 for the same offences and ordered to pay costs of £159,402...
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 Notice of Decision to Cancel, the FCA is taking action against Union Securities Limited...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Notice of Decision to Cancel, the FCA is taking action against Orkin Financial Services Limited...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Notice of Decision to Cancel, the FCA is taking action against Euro Commercial Trading Limited...
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)
This final notice refers to breaches of FIT related to lack of fitness and propriety in the trading firms sector...
Financial Conduct Authority (FCA) (News)
The FCA has banned Paul Robson, a former trader at Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. from the UK financial services industry for lacking honesty and integrity following a criminal conviction for fraud in the US...
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