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Financial Conduct Authority (FCA)

Financial Conduct Authority (FCA) (News)
The case concerns breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. FCA imposed a prohibition.
Financial Conduct Authority (FCA) (News)
The Financial Conduct Authority has launched a Call for Inputs on the use of Big Data in the retail general insurance sector.
Financial Conduct Authority (FCA) (News)
FCA are seeking views, supported by examples and evidence where possible, of how Big Data is affecting (and is likely to affect) consumer outcomes and competition in the retail general insurance (GI) sector. FCA are also seeking views on whether our regulatory framework affects developments in Big Data or unduly constrains innovation in the interest of consumers...
Financial Conduct Authority (FCA) (News)
The Knowledge Base is the UKLA’s repository of non-handbook commentary that has the status of formal FCA guidance. It consists of a series of short procedural and technical notes published in PDF form and ordered by topic. The notes relate to aspects of the Listing Rules, Prospectus Rules, and Disclosure and Transparency Rules.
Financial Conduct Authority (FCA) (News)
The Knowledge Base is the UKLA’s repository of non-handbook commentary that has the status of formal FCA guidance...
Financial Conduct Authority (FCA) (News)
This paper will be of particular interest to businesses looking to use FinTech and RegTech for providing financial services. This can include innovator firms (both authorised firms and new entrants), accelerators, businesses in the finance industry, software firms and technology companies.
Financial Conduct Authority (FCA) (News)
This final notice refers to numerous breaches of CONC Chapter 8 and SYSC 9.1 related to inability to meet Threshold Condition 2D (appropriate non-financial resources) in the Consumer Credit: Debt Management sector. We imposed a refusal of Part 4A Application and ceasing of Interim Permission to carry out regulated activities.
Financial Conduct Authority (FCA) (News)
FCA explain the latest changes we have made, or are proposing to make, to our Knowledge Base.
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...
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 individual and how to protect yourself from scammers.
Financial Conduct Authority (FCA) (News)
The consultation will be of interest to issuers with securities admitted to trading to regulated markets in the UK; firms who advise these issuers; firms or people investing in securities which are traded on a regulated market in the UK...
Financial Conduct Authority (FCA) (News)
This Report produced by the FCA and PRA explains why HBOS failed in October 2008 and sets out conclusions and recommendations. The story of the failure of HBOS is important both to provide a record of an event which required a major contribution by the public purse, and because it is a story of the failure of a bank that did not undertake complicated activity or so-called racy investment banking. HBOS was at root a simple bank that nonetheless managed to create a big problem...
Financial Conduct Authority (FCA) (News)
The Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) are publishing the review into the failure of HBOS Group.
Financial Conduct Authority (FCA) (News)
UK asset management fi­rms hold more assets under management than those in any other European nation, with £6.6 trillion held...
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 has fined Mothahir Miah, a former Investment Analyst at Aviva Investors Global Services Limited, £139,000 and banned him from performing any function in relation to any regulated activity in the financial services industry for failing to act with honesty and integrity...
Financial Conduct Authority (FCA) (News)
The FCA has set out the areas it will focus on in its market study into competition in the asset management industry...
Financial Conduct Authority (FCA) (News)
In November 2015, the FCA published the Terms of Reference for FCA's asset management market study. The aim of the study will be to understand whether competition is working effectively to enable investors to get value for money when purchasing asset management services...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, unfair treatment of customers and conflicts of interest in the asset management sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of FIT related to lack of fitness/propriety in the general insurance and protection 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)
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)
This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 6, related to failure to meet the conditions for authorisation...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of the Payment Services Regulations 2009 (the PSRs), Regulation 13, related to lack of fitness/propriety and failing to be open and cooperative with the Financial Conduct Authority...
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)
This document outlines how the Payment Systems Regulator will interact with the Bank of England, the Financial Conduct Authority and the Prudential Regulation Authority...
Financial Conduct Authority (FCA) (News)
The FCA invites views on the proposed guidance, which intends to clarify the requirements on firms when outsourcing to the ‘cloud’ and other third-party IT services...
Financial Conduct Authority (FCA) (News)
In this discussion paper, we set out our initial thinking about possible changes to our Handbook to make sure our regulatory approach takes account of two proposed legislative developments that will impact on the regulated loan-based crowdfunding sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to an applicant for Part 4A permission not satisfying the FCA’s appropriate resources and suitability threshold conditions...
Financial Conduct Authority (FCA) (News)
This final notice refers to a candidate for approval to perform controlled functions not satisfying the competence criteria of the FCA’s Fit and Proper Person Test...
Financial Conduct Authority (FCA) (News)
The FCA is jointly consulting with the PRA on the proposed changes to the Senior Insurance Managers Regime (SIMR) for Swiss general insurers...
Financial Conduct Authority (FCA) (News)
Speech by Jonathan Davidson, Director of Supervision - Retail and Authorisations, delivered at the Council of Mortgage Lenders conference, London...
Financial Conduct Authority (FCA) (News)
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the MetricStream Governance, Research and Compliance Summit in London...
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)
This report sets out FCA's plans to expand Project Innovate by implementing a regulatory sandbox...
Financial Conduct Authority (FCA) (News)
Speech by Christopher Woolard, director of strategy and competition at the FCA, delivered at the FinanceAsia Annual Compliance Summit in Hong Kong on 10 November 2015...
Financial Conduct Authority (FCA) (News)
The FCA has published plans for implementing a 'regulatory sandbox'. The sandbox will allow businesses to test out new, innovative financial products, services or business models without incurring all the normal regulatory consequences of engaging in those activities...
Financial Conduct Authority (FCA) (News)
This Final Notice refers to breaches of PRIN 6, PRIN 11, COND, DISP 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)

The Policy Development Update provides information on:

  • publications issued since the last edition
  • information about recent developments, Handbook-related and otherwise
  • other publications - consumer publications, guidance consultations and finalised guidance
  • an updated timetable for forthcoming publications
Financial Conduct Authority (FCA) (News)
This Handbook Notice introduces the Handbook and other material made by the FCA Board under its legislative powers on 5 November 2015...
Financial Conduct Authority (FCA) (News)
This consultation paper sets out FCA's proposed rules for firms performing activities in relation to these mortgages, which the FCA refer to as 'pre-2004 first charge CCA mortgages'...
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 and Said Business School has jointly hosted a two-day conference to explore a range of questions that are of interest to regulators, academics and practitioners...
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