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Financial Conduct Authority (FCA)

Financial Conduct Authority (FCA) (News)
A director of three debt management firms has been sentenced to 15 months in prison, suspended for two years, and 200 hours of community service for fraud by abuse of position. The case was brought by South Wales Police following its own investigation, and with the cooperation and assistance of the FCA...
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 report summarises the results of a survey of 233 firms active in providing financial advice on retail investment products, carried out in November 2015...
Financial Conduct Authority (FCA) (News)
The FCA has published a report proposing a series of measures aimed at enhancing the UK’s debt listing regime...
Financial Conduct Authority (FCA) (News)
This report outlines the measures the FCA will take as a result of their recent engagement with industry. It highlights developments in primary debt markets the UK Debt Market Forum considered and the issues it discussed...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of COND and PRIN 11 related to failing to be open and co-operative in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
The FCA explain the latest changes they have made, or are proposing to make, to their Knowledge Base...
Financial Conduct Authority (FCA) (News)
The FCA’s Market Watch newsletter periodically considers current market conduct and transaction reporting issues...
Financial Conduct Authority (FCA) (News)
The FCA believes Asset Land and the individuals involved were promoting and operating collective investment schemes without our authorisation when they promoted and sold plots of land in Stansted, Harrogate, Lutterworth, Newbury, Liphook and South Godstone...
Financial Conduct Authority (FCA) (News)
The modules of the Handbook of rules and guidance Glossary, COBS and CONC are amended in accordance with the Annexes to this instrument...
Financial Conduct Authority (FCA) (News)
The Glossary of definitions is amended in accordance with Annex A to this instrument. The Compensation sourcebook (COMP) is amended in accordance with Annex B to this instrument...
Financial Conduct Authority (FCA) (News)
In this Policy Statement the FCA report on the main issues arising from Consultation Paper 15/30 (Pension reforms - proposed changes to our rules and guidance) and publish the final rules and guidance...
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 modules of the FCA’s Handbook of rules and guidance Glossary, SYSC and GENPRU are amended in accordance with the Annexes to this instrument...
Financial Conduct Authority (FCA) (News)
The Prudential sourcebook for Investment Firms (IFPRU) is amended in accordance with the Annex to this instrument...
Financial Conduct Authority (FCA) (News)
The Consumer Redress Schemes sourcebook (CONRED) is amended in accordance with the Annex to this instrument...
Financial Conduct Authority (FCA) (News)
The Enforcement Guide (EG) is amended in accordance with the Annex to this instrument...
Financial Conduct Authority (FCA) (News)
The FCA believes this firm has been providing financial services or products in the UK without their authorisation...
Financial Conduct Authority (FCA) (News)
The FCA believes this firm has been providing financial services or products in the UK without their authorisation...
Financial Conduct Authority (FCA) (News)
The FCA believes this firm has been providing financial services or products in the UK without their authorisation...
Financial Conduct Authority (FCA) (News)
The FCA believe this firm has been providing financial services or products in the UK without their authorisation...
Financial Conduct Authority (FCA) (News)
This Handbook Notice introduces the Handbook and other material made by the FCA Board under its legislative powers on 21 April 2016. 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)
The FCA is consulting on proposed changes to the Decision Procedure and Penalties Manual and the Enforcement Guide to set out how they will enforce the Market Abuse Regulation (Regulation 596/2014/EU)...
Financial Conduct Authority (FCA) (News)
The FCA has published a consultation on its proposed rules and guidance for the secondary annuity market...
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 seeks views on FCA's proposed new rules and guidance for the secondary annuity market, which is due to start in April 2017...
Financial Conduct Authority (FCA) (News)
This supplement provides details of consumer credit authorisations...
Financial Conduct Authority (FCA) (News)
In a judgment issued yesterday, the Supreme Court confirmed that Asset Land had been operating an unauthorised collective investment scheme in the course of operating a land bank which involved the selling of small plots of land to investors at hugely inflated prices...
Financial Conduct Authority (FCA) (News)
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the Westminster and City industry forum on FAMR, on 13 April 2016...
Financial Conduct Authority (FCA) (News)
After a year of planning and extensive research with FCA's users, the FCA will be launching their redesigned website in June 2016...
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 is publishing FCA's key findings from the 2015 thematic review about benefits provided and received by firms conducting MiFID business, and those carrying out regulated activities in relation to a retail investment product...
Financial Conduct Authority (FCA) (News)
In December 2015, the PSR consulted on its proposed approach for allocating, calculating and collecting the PSR’s Annual Funding Requirement (AFR) for 2016/17. This document sets out its policy decisions on the allocation, calculation, and collection of PSR fees for 2016/17, and further proposals for consultation...
Financial Conduct Authority (FCA) (News)
High-frequency traders have received a mixed reaction from academics and practitioners with some people underlining their role as liquidity providers and others highlighting the problems that they could bring to the market...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector...
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)
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)
The Glossary of definitions is amended in accordance with Annex A to this instrument. The Fees manual (FEES) is amended in accordance with Annex B to this instrument...
Financial Conduct Authority (FCA) (News)
The FCA and the PRA have published proposals aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes...
Financial Conduct Authority (FCA) (News)
The FCA has published a Decision Notice in respect of Mr Arif Hussein, formerly a derivatives trader at UBS in London...
Financial Conduct Authority (FCA) (News)
This decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PRIN 6, PRIN 11, COND and DISP related to failing to be open and co-operative, unfair treatment of customers and threshold conditions in the consumer credit 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)
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 Consultation Paper includes proposed changes to the FCA’s Decision Procedure and Penalties Manual and Enforcement Guide...
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