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Financial Conduct Authority (FCA)

Financial Conduct Authority (FCA) (News)
The Meeting noted there was a quorum present and proceeded to business...
Financial Conduct Authority (FCA) (News)
Welcome to the eighth edition of Primary Market Bulletin...
Financial Conduct Authority (FCA) (News)
FCA 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)
The UK has an aging society with many people not saving enough for their retirement. Automatic enrolment of employees into workplace pension schemes began in July 2012, as part of the government’s policy response to this challenge...
Financial Conduct Authority (FCA) (News)
The FCA’s supervisory approach to financial promotions in social media...
Financial Conduct Authority (FCA) (News)
The Financial Conduct Authority has launched a consultation which is intended to clarify its approach to the supervision of financial promotions in social media.
Financial Conduct Authority (FCA) (News)
The modules of the FCA Handbook of rules and guidance Glossary and COBS are amended in accordance with the Annexes to this instrument...
Financial Conduct Authority (FCA) (News)
This Handbook Notice introduces the Handbook and other material made by the Financial Conduct Authority under its legislative powers on 26 June 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)
What’s in this update?
  • publications issued since the last edition
  • information about recent Handbook-related and other developments
  • other publications - consumer publications, guidance consultations and finalised guidance
  • an updated timetable for forthcoming publications
Financial Conduct Authority (FCA) (News)
In the first use of new consumer protection powers, the Financial Conduct Authority (FCA) will restrict firms from distributing contingent convertible securities (CoCos) to the mass retail market from 1 October 2014...
Financial Conduct Authority (FCA) (News)
This consultation sets out our - the Financial Conduct Authority’s - proposed general guidance in relation to the Financial Policy Committee’s recommendation on loan to income ratios in mortgage lending...
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)
Contingent convertible instruments are hybrid capital securities that absorb losses when the capital of the issuer falls below a certain level...
Financial Conduct Authority (FCA) (News)
The modules of the FCA Handbook of rules and guidance Glossary, SYSC, COBS, SUP, DISP, CONC, LR and PERG are amended in accordance with the Annexes to this instrument...
Financial Conduct Authority (FCA) (News)
The Interim Prudential sourcebook for Investment Businesses (IPRU(INV)) 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)
In this Policy Statement the FCA reports on the main issues arising from Consultation Paper 12/33 (A new capital regime for Self-Invested Personal Pension (SIPP) operators) and publish the final rules...
Financial Conduct Authority (FCA) (News)
A progress update has been published by the Independent Project Board responsible for overseeing the audit of charges and benefits in legacy defined contribution workplace pension schemes...
Financial Conduct Authority (FCA) (News)
This Consultation Paper sets out the proposed changes to our Handbook that are required to transpose the Recovery and Resolution Directive (Directive 2014/59/EU) into the UK regulatory regime for the investment firms and certain group entities that we regulate prudentially and that fall within the scope of the RRD...
Financial Conduct Authority (FCA) (News)
The Financial Conduct Authority notifies that it extends the prohibition of short selling in the following instrument applied on 31 July 2014 under Article 23(2) of Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012...
Financial Conduct Authority (FCA) (News)
Retail and professional clients are being failed by firms that don’t properly apply the rules on best execution when trading on their behalf, according to a review by the Financial Conduct Authority...
Financial Conduct Authority (FCA) (News)
This paper presents our findings from the review of best execution and Payment for Order Flow. Delivering best execution is fundamental to market integrity and to the delivery of good outcomes for clients who rely on agents to act in their best interests. These outcomes are also underpinned by a range of relevant rules and guidance which set the parameters within which firms must operate...
Financial Conduct Authority (FCA) (News)
FCA believe this firm has been carrying out consumer credit activities in the UK without our permission or 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 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 are making more information about our performance available, by publishing some key performance indicators for the first time...
Financial Conduct Authority (FCA) (News)
The Financial Conduct Authority and the Bank of England Prudential Regulation Authority welcome the recommendations of the Parliamentary Committee on Banking Standards about whistleblowing....
Financial Conduct Authority (FCA) (News)
The Upper Tribunal has published a judgment dismissing Micalizzi’s appeal and upholding the decision of the Financial Conduct Authority that Micalizzi failed to act with integrity in carrying out his functions in connection with his role at Dynamic Decisions, a now defunct hedge fund...
Financial Conduct Authority (FCA) (News)
This joint Prudential Regulatory Authority and Financial Conduct Authority consultation paper seeks views on proposed changes to the regulators’ rules on remuneration, including: deferral; clawback; bailed-out banks; buy-outs; risk adjustment (PRA only);and the remuneration of non-executive directors.
Financial Conduct Authority (FCA) (News)
The changes are significant and include: a new Senior Managers Regime for individuals who will be subject to regulatory approval; and a Certification Regime which will require relevant firms to assess the fitness and property of certain employees who could pose a risk of significant harm to the firm or any of its customers...
Financial Conduct Authority (FCA) (News)
FCA 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 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)
Fraudsters are using the details of firms FCA authorise 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 Lloyds Bank plc and Bank of Scotland plc...
Financial Conduct Authority (FCA) (News)
The Financial Conduct Authority has fined Lloyds Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group, £105 million for serious misconduct relating to the Special Liquidity Scheme (SLS), the Repo Rate benchmark and the London Interbank Offered Rate (LIBOR).
Financial Conduct Authority (FCA) (News)
People who were mis-sold Card Protection Plan Limited (CPP) card or identity protection insurance products have less than five weeks to submit their compensation claims...
Financial Conduct Authority (FCA) (News)
Some important considerations if you have or are planning to invest in corporate bond funds...
Financial Conduct Authority (FCA) (News)
The FCA is consulting on removing the requirement for issuers of shares admitted to trading on a regulated market to publish interim management statements pursuant to Transparency Directive Amending Directive (2013/50/EC)...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Final Notice, the FCA is taking action against Investments Limited...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Final Notice, the FCA is taking action against Financial 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)
The FCA has commenced a criminal prosecution against Phillip Harold Boakes of Stratford-upon-Avon, Warwickshire, for 13 alleged offences relating to an unauthorised investment scheme he operated between 1 October 2004 and 4 June 2013...
Financial Conduct Authority (FCA) (News)
The FCA has used its suspension power for the first time, banning two of the Financial Group’s subsidiaries, Financial Limited and Investments Limited, from recruiting new Appointed Representatives and individual advisers for a period of four and a half months...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Final Notice, the FCA is taking action against Safe Transfer Limited...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Final Notice, the FCA is taking action against Bluerock Foreign Exchange Limited...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Final Notice, the FCA is taking action against Abacus Transfers Limited...
Financial Conduct Authority (FCA) (News)

In this final report on FCA's market study the FCA summarises the feedback we received on the provisional findings of our market study into general insurance add-ons and set out our response to that feedback; and in doing so, confirm that FCA's findings are now final...

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)
Speech by Tracey McDermott, Director of Enforcement and Financial Crime, the FCA, at the Thompson Reuters Compliance & Risk Summit, London...
Financial Conduct Authority (FCA) (News)
The FCA has published a Final Notice for Ian Hannam stating that it has fined him £450,000...
Financial Conduct Authority (FCA) (News)
For the reasons set out in this Final Notice, the FCA is taking action against Ian Charles Hannam...
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