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Financial Conduct Authority (FCA)

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...
Financial Conduct Authority (FCA) (News)
Annual Public Meeting: Transcripts - Question and Answer has been published...
Financial Conduct Authority (FCA) (News)
Annual Public Meeting: Transcripts - Martin Wheatly speech has been published...
Financial Conduct Authority (FCA) (News)
Annual Public Meeting: Transcripts - John Griffith Jones speech has been published...
Financial Conduct Authority (FCA) (News)
This report summarises the findings of FCA's thematic research into suitability of bulk pension transfer advice provided by financial advisers where employers offered an enhancement to the transfer value...
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)
As you may be aware, the FCA has recently conducted a thematic review of SIPP operators following up on the guidance we issued in October 2013...
Financial Conduct Authority (FCA) (News)
This consultation paper should be read alongside the Government response to their consultation, Freedom and Choice in Pensions, giving more detail on the Guidance Service that will help people make retirement income decisions...
Financial Conduct Authority (FCA) (News)
A review commissioned by the FCA into financial advice to people who were offered enhancements to incentivise them to leave their employers’ defined benefit pension schemes has identified a risk of customers losing out on retirement income due to poor advice...
Financial Conduct Authority (FCA) (News)
The FCA and the Competition and Markets Authority have published a joint market study on banking services for small and medium-sized businesses...
Financial Conduct Authority (FCA) (News)
The market study on banking services for small and medium-sized businesses was a result of work undertaken jointly by the FCA and the Competition and Markets Authority...
Financial Conduct Authority (FCA) (News)
The FCA looked at how the FCA has delivered against FCA's strategic objective to make markets work well, and FCA's three operational objectives of securing an appropriate degree of protection for consumers, protecting and enhancing the integrity of the UK financial system and promoting effective competition in the interests of consumers...
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)
Minutes: FCA Board 05 June 2014 has been published...
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)
Societies that have been prosecuted for not submitting their annual returns and accounts...
Financial Conduct Authority (FCA) (News)
A programme of qualitative consumer research with consumers around the moment they arrange their insurance through price comparison websites was required to inform this review, and this document summarises the key findings arising from that qualitative consumer research carried out between January and February 2014...
Financial Conduct Authority (FCA) (News)
This report summarises the findings of our thematic review focused on the intermediation of general insurance products (private motor, home and travel) by price comparison websites...
Financial Conduct Authority (FCA) (News)
The FCA has found that some price comparison websites operating in the general insurance sector are failing to meet consumers’ expectations of them and, in some cases, the FCA’s regulatory standards...
Financial Conduct Authority (FCA) (News)
The FCA notifies that it temporarily prohibits short selling in the following instrument under Articles 23 (1) and 26 (4) of Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012 on short selling and certain aspects of credit default swaps...
Financial Conduct Authority (FCA) (News)
Waivers Client Assets (CASS) - Sourcebook or manual to which waivers of rules apply...
Financial Conduct Authority (FCA) (News)
CRR Permissions has been published...
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...
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