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Financial Conduct Authority (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)
This is a short special edition focusing mainly on how issuers are expected to file PDMR (persons discharging managerial responsibilities) notifications, and notifications for delayed disclosure of inside information with us under MAR (Regulation 596/2014/EU)...
Financial Conduct Authority (FCA) (News)
Under MAR (Regulation 596/2014/EU), inside information must be announced as soon as possible and may only be delayed where certain conditions are met. From 3 July 2016, where an issuer has delayed disclosing inside information in accordance with MAR Article 17, the issuer must notify the FCA of the delay immediately following public disclosure of the information...
Financial Conduct Authority (FCA) (News)
This independent research was commissioned by the Financial Conduct Authority to shed new light on the consumer experience of issues associated with access to financial services. The objective was to explore in depth the nature of problems encountered by a range of different customers, experiencing different types of challenges when accessing a variety of financial products and services...
Financial Conduct Authority (FCA) (News)
A study of representative views and data in the UK, by John Howell & Co. Ltd. for the Financial Conduct Authority...
Financial Conduct Authority (FCA) (News)
This paper aims to stimulate ideas and foster a culture of access and inclusion throughout retail financial services, that embraces firms, regulators, government and consumer organisations...
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 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)
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 consulting on their proposals to issue an Approach Document for firms that are wishing to wind down their business in an orderly manner, including under stressed conditions...
Financial Conduct Authority (FCA) (News)
The FCA recently assessed the compliance of firms’ recovery plans with the Recovery and Resolution Directive (Directive 2014/59/EU) - a comprehensive recovery and resolution regime that helps firms plan for recovery from financial difficulty - and report on areas for improvement...
Financial Conduct Authority (FCA) (News)
The FCA has banned Mr Peter Johnson, former compliance officer of Keydata Investment Services Ltd (Keydata), from performing any function in relation to any regulated financial activity and publicly censured him...
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 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 is consulting on proposed changes to the Client Assets sourcebook (CASS) and the Collective Investment Schemes sourcebook (COLL), following the adoption of the Undertakings for Collective Investment in Transferable Securities V Level 2 Regulation (Commission Delegated Regulation (EU) 2016/438)...
Financial Conduct Authority (FCA) (News)
Speech by Jonathan Davidson, Director of Supervision - retail and authorisations at the FCA, delivered at the Building Societies Association Annual Conference on 19 May 2016, in Gateshead...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of APER 1, APER 4 and FIT related to failing to be open and co-operative, failing to act on information appropriately, a lack of fitness/propriety and mis-selling in the asset management sector...
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)
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)
Firms have positively applied the responsible lending requirements, which came into force as part of the Mortgage Market Review; however, there is scope for improving consumers' ability to make better choices about mortgage deals...
Financial Conduct Authority (FCA) (News)
This report summarises the key findings of FCA's market-wide thematic review of how firms are applying the responsible lending rules introduced in April 2014 following the Mortgage Market Review...
Financial Conduct Authority (FCA) (News)
This Feedback Statement reports on the themes arising from the responses to the Call for Inputs on competition in the mortgage sector...
Financial Conduct Authority (FCA) (News)
The FCA has fined Mark Taylor, a financial adviser, £36,285 and banned him for a period of at least two years for engaging in market abuse...
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)
On 31 March the Government announced the Office of Financial Sanctions Implementation has been created within HM Treasury...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of FIT as well as section 118(2) Financial Services and Markets Act 2000, related to market abuse and a lack of fitness/propriety in the wealth management and private banking sector...
Financial Conduct Authority (FCA) (News)
In a case brought by the FCA, Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment, respectively, having been convicted of conspiring to insider deal between November 2006 and March 2010. Dodgson’s sentence is the longest ever handed down for insider dealing in a case brought by the FCA...
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)
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 purpose of this Co-operation Agreement is to provide a framework for co-operation and referrals between the Innovation Functions of each Authority...
Financial Conduct Authority (FCA) (News)
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London...
Financial Conduct Authority (FCA) (News)
MiFID II brings in new requirements for both manufacturers and distributors...
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 opened its regulatory sandbox to firms. The sandbox is a 'safe space' in which businesses can test innovative products, services, business models and delivery mechanisms while ensuring that consumers are appropriately protected...
Financial Conduct Authority (FCA) (News)
In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants - a senior investment banker and a Chartered Accountant - have been convicted of conspiring to insider deal between November 2006 and March 2010...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of APER 6, APER 7, FIT and CASS related to a lack of fitness/propriety and client money/assets misconduct in the general insurance and protection sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
The FCA is making more information about our performance available, by publishing key performance indicators...
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 Policy Development Update provides information on:

  • 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)
This final notice refers to breaches of PRIN 11, 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, failing to be open and co-operative in the consumer credit sector...
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