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Financial Conduct Authority (FCA)

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)
We launched a remediation programme in 2014 to ensure UK foreign exchange (FX) firms addressed the root causes of failings and to drive up standards across the market. Find out how firms should respond to our findings and our next steps.
Financial Conduct Authority (FCA) (News)
This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury Select Committee, our Internal Audit reports are submitted to the Treasury Select Committee one year in arrears. Redactions have been made on agreement with the Committee and do not include any information which, in our opinion, would be against the public interest.
Financial Conduct Authority (FCA) (News)
Enclosed is an invoice to cover your portion of the levy for the costs relating to the major banking failures of 2008/09 of £337m. This is as announced in the April issue of Outlook.
Financial Conduct Authority (FCA) (News)
This note sets out in one place information relevant to the estimates concerning the 2008/09 banking defaults, including an explanation on how the levy is calculated and an overview of the levies for each year.
Financial Conduct Authority (FCA) (News)
On the 22 July 2016 we published the results of our thematic review into the supervision by principal firms of their appointed representatives in the general insurance sector. The report sets out our findings and the actions we expect firms to take to ensure that they meet their responsibilities as principals for their appointed representatives. Our review uncovered widespread shortcomings in principal firms’ awareness and understanding of our rules and guidance and compliance with the requirements. This creates significant concern of material risks to consumers arising from the activities of appointed representatives operating in the general insurance sector.
Financial Conduct Authority (FCA) (News)
We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.
Financial Conduct Authority (FCA) (News)
We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.
Financial Conduct Authority (FCA) (News)
FCA have published the second report into cash savings account rates under our sunlight remedy, following the first publication in December 2015. This is aimed at bringing to light firms’ strategies towards their longstanding customers. This data displays the lowest interest rates available on open and closed easy access cash savings accounts and easy access cash ISAs at 1 April 2016. We will publish the next set of data toward the end of the year.
Financial Conduct Authority (FCA) (News)
Between 1 April 2014 and 31 March 2016, we received nearly 37,000 applications for authorisation from consumer credit firms. We aim to allocate cases as quickly as possible and have already closed 87% of these applications - 99.6% within the statutory deadline...
Financial Conduct Authority (FCA) (News)
The Financial Conduct Authority (FCA) has found significant shortcomings in the control and oversight of appointed representatives by their principal firms in the general insurance sector in a thematic review published...
Financial Conduct Authority (FCA) (News)
New FinTech Bridge will support international expansion of UK and Korean FinTech firms.
Financial Conduct Authority (FCA) (News)
Co-operation Agreement between Financial Conduct Authority (FCA) and Financial Services Commission of the Republic of Korea (FSC).
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 general insurance and protection sector. We imposed a cancellation.
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 general insurance and protection sector. We imposed a cancellation.
Financial Conduct Authority (FCA) (News)
This report sets out the findings from our thematic review of principal firms and their appointed representatives in the general insurance sector. The review focused on principal firms’ understanding of their responsibilities for their appointed representatives and oversight of their activities.
Financial Conduct Authority (FCA) (News)
For the reasons given below, having taken into account the representations made by the Firm and pursuant to 55L(2)(a) and (c) of the Financial Services and Markets Act 2000, the Authority has decided not to rescind the following requirements which were imposed on Vantage Investment Group Limited by a First Supervisory Notice dated 20 November 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)
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)
Firms operating dark pools have made significant progress in addressing the promotion and the management of conflicts of interest according to a new report from the FCA...
Financial Conduct Authority (FCA) (News)
The FCA has surveyed the UK equity marketplace, focusing on dark pools and broker crossing networks, by examining promotional activity and the identification and management of conflicts of interest by dark pool operators...
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)
In this Feedback Statement the FCA summarises the responses the FCA has received to our RegTech Call for Input: Supporting the development and adopters of RegTech, and outline FCA's approach to RegTech for 2016/17...
Financial Conduct Authority (FCA) (News)
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at FCA's 2016 Annual Public Meeting...
Financial Conduct Authority (FCA) (News)
The FCA has published the second set of data showing the lowest interest rates offered by 32 providers of easy access cash savings accounts and easy access cash ISAs. The data is part of the FCA’s ‘sunlight remedy’, which shines a light on firms’ strategies towards their long-standing customers. The data shows that some accounts pay as little as 0.01 per cent...
Financial Conduct Authority (FCA) (News)
The FCA is consulting on changes to FCA's disclosure requirements in the Handbook in order to reflect the direct application of the PRIIPs Regulation from 31 December 2016...
Financial Conduct Authority (FCA) (News)
Distribution of lowest cash ISA rates at 1 October 2015 and 1 April 2016...
Financial Conduct Authority (FCA) (News)
In these tables the FCA has published the lowest possible rates - these do not necessarily reflect the typical rate that a customer is earning...
Financial Conduct Authority (FCA) (News)
Consumer testing to inform the FCA’s proposed switching box by Optimisa Reseach...
Financial Conduct Authority (FCA) (News)
During 2015 the FCA carried out a series of randomised controlled trials and follow-up consumer research to help assess the impact on customer behaviour of several possible remedies to the issues the FCA identified in the cash savings market. These remedies included the switching box and return switching form...
Financial Conduct Authority (FCA) (News)
This paper describes the findings of a series of field trials that explored how disclosure-type regulatory interventions could encourage consumers to switch to higher-paying savings accounts...
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 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)
The FCA has fined Gavin Breeze £59,557 for engaging in market abuse in the form of insider dealing and has also publicly censured him for improper disclosure...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of s. 118(2) and (3) Financial Services and Markets Act 2000 related to market abuse in the issuer sector...
Financial Conduct Authority (FCA) (News)
How is the FSCS Levy Calculated...
Financial Conduct Authority (FCA) (News)
This decision notice refers to breaches of COND related to a lack of fitness/propriety in the investment advisor and wealth management sector...
Financial Conduct Authority (FCA) (News)
The FCA has published the Terms of Reference for its Retirement Outcomes Review which will assess how competition is developing in the retirement income market...
Financial Conduct Authority (FCA) (News)
The FCA has published a Decision Notice issued to Andrew Barry Hart, director of Wage Payment and Payday Loans Limited (WPPL), and a Decision Notice issued to WPPL...
Financial Conduct Authority (FCA) (News)
Find out more about FCA's research into the implementation and effects of the proposed ‘annuity comparator’...
Financial Conduct Authority (FCA) (News)
Since April 2015, consumers have had greater choice around how they access their Defined Contribution pension savings. It is important that consumers looking to access these savings understand the consequences of the decisions they make...
Financial Conduct Authority (FCA) (News)
Pensions and retirement income is a priority sector for the FCA, given the fundamental recent changes to the market and further changes to follow in 2017. Read more about our policy work and market monitoring in this area...
Financial Conduct Authority (FCA) (News)
The FCA has published the Terms of Reference for our Retirement Outcomes Review. The aim of the review will be to assess the impact of the pension reforms on competition in the retirement income market by looking at how firms and consumers have responded to the new freedoms...
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)
This decision notice refers to breaches of COND related to failing to satisfy Threshold Conditions in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
This decision notice refers to breaches of FIT related to a lack of fitness and propriety in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
Many people buy their annuity from their existing pension provider, even though they might get a better deal by switching provider. To test whether, and if so how, ‘prompts’ might encourage consumers to shop around for their annuity, we commissioned Oxera and the Centre for Experimental Social Sciences to conduct an experiment...
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