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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)

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)
The Transaction Reporting User Pack provides guidance to firms on understanding the transaction reporting obligations that come from Directive 2004/39/EC on the Markets in Financial Instruments Directive, implemented through SUP17 of the FCA Handbook...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of Principle 11 / COND related to threshold conditions and failing to be open and co-operative in the investment advisor sector...
Financial Conduct Authority (FCA) (News)
Three new Chairs for the Financial Conduct Authority’s independent Practitioner Panels have been appointed, announced the FCA’s Chairman John Griffith-Jones...
Financial Conduct Authority (FCA) (News)
The PSR has confirmed that 14 industry and service-user experts will help develop its proposed Payments Strategy Forum...
Financial Conduct Authority (FCA) (News)
This paper outlines FCA's proposed approach to implementing a legislative framework for consumer buy-to-let mortgages...
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 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)
For the reasons given below and pursuant to section 55J of the Act, the Authority has decided to vary the permission granted to Mr Baxter pursuant to Part 4A of the Act, by removing all regulated activities with immediate effect...
Financial Conduct Authority (FCA) (News)
For the reasons given in this Notice, having taken into account Andrew Baxter’s representations, the Authority has decided not to rescind the variation made to Mr Baxter’s permission under Part 4A of the Act as provided for in paragraph 1 of the First Supervisory Notice...
Financial Conduct Authority (FCA) (News)
Following a request received from PricewaterhouseCoopers LLP, the FCA hereby limits and restricts the services to which the sponsor approval of PricewaterhouseCoopers LLP relates...
Financial Conduct Authority (FCA) (News)
The modules of the FCA Handbook of rules and guidance Glossary, FEES, LR, PR and DTR are amended in accordance with the Annexes to this instrument...
Financial Conduct Authority (FCA) (News)
The Glossary is amended in accordance with Annex A to this instrument. The Conduct of Business sourcebook is amended in accordance with Annex B to this instrument...
Financial Conduct Authority (FCA) (News)
The modules of the FCA Handbook of rules and guidance Glossary, IFPRU and SUP are amended in accordance with the Annexes to this instrument...
Financial Conduct Authority (FCA) (News)
The FCA has confirmed the final rules requiring firms to set up and maintain independent governance committees...
Financial Conduct Authority (FCA) (News)
The FCA has published rules that require the providers of workplace personal pension schemes to set up and maintain independent governance committees. The rules come into force on 6 April 2015...
Financial Conduct Authority (FCA) (News)
Handbook Versions as in force at the date of this Direction...
Financial Conduct Authority (FCA) (News)
Crowdfunding is a way in which people, organisations and businesses, including business start-ups, can raise money through online portals to finance or re-finance their activities...
Financial Conduct Authority (FCA) (News)
Number of skilled persons reports commissioned in Q3 14/15...
Financial Conduct Authority (FCA) (News)
On 27 January 2015 LQD Markets UK formally entered into Special Administration Regime insolvency proceedings...
Financial Conduct Authority (FCA) (News)
The FCA is making more information about FCA's performance available, by publishing key performance indicators...
Financial Conduct Authority (FCA) (News)
This Handbook Notice introduces the Handbook and other material made by the FCA Board under its legislative powers on 22 December 2014, and 15 and 29 January 2015...
Financial Conduct Authority (FCA) (News)
The Knowledge Base is the UKLA’s repository of non-Handbook technical commentary that has the status of formal FCA guidance...
Financial Conduct Authority (FCA) (News)
This summary of a final notice refers to breaches of COND and TC related to lack of fitness/propriety and failing to be open and co-operative in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
The FCA highlights the publication of two new Technical Notes in the Knowledge Base, which set out FCA's approach to sponsor competence...
Financial Conduct Authority (FCA) (News)
The FCA is planning to gather evidence on current trends in complaints on Payment Protection Insurance...
Financial Conduct Authority (FCA) (News)
Having been convicted on 9 January 2015 following a trial, Alex Hope was today sentenced at Southwark Crown Court to a total of 7 years’ imprisonment for defrauding investors of significant sums and operating a collective investment scheme without 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 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)
For the reasons listed below and pursuant to sections 55L(2)(c) and 55L(3) of the Financial Services and Markets Act 2000 as amended by the Financial Services Act 2012, the Authority has decided to vary the permission granted to LQD Markets (UK) Limited (“LQD”) pursuant to Part 4A of the Act (“LQD’s Part 4A permission”), by imposing the following further requirements namely that immediately upon service of this notice on LQD...
Financial Conduct Authority (FCA) (News)
The FCA's quarterly Data Bulletin gives you some key information about what the FCA does and the markets the FCA regulates...
Financial Conduct Authority (FCA) (News)
The FCA believes 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)
This MoU sets out the working arrangements between the FCA and the Information Commissioner’s Office...
Financial Conduct Authority (FCA) (News)
This MoU sets out the working arrangements between the FCA and the Advertising Standards Authority...
Financial Conduct Authority (FCA) (News)
The FCA has reached an agreement with Affinion International Limited and 11 high street banks and credit card issuers, following voluntary negotiations, that will pave the way for customers to claim compensation if they have concerns about the way that card security products with the following product names were sold to them...
Financial Conduct Authority (FCA) (News)
If you bought a card security product called Card Protection, Sentinel (including Sentinel Gold, Protection and Excel) or Safe and Secure Plus from a bank, credit card issuer or Affinion International Limited, you may be entitled to compensation...
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)
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 PSR responds to the Competition and Markets Authority’s consultation on its draft annual plan for 2015/16....
Financial Conduct Authority (FCA) (News)
The FCA is consulting on procedural guidance relating to FCA's competition powers...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of Principle 11 related to threshold conditions breaches in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
The FCA has written to the Chief Executive Officers of pension providers to outline plans to introduce additional protection for those accessing their defined contribution pension pot from April 2015...
Financial Conduct Authority (FCA) (News)
As you will be aware, the FCA is responsible for setting, maintaining and monitoring the standards for organisations delivering guidance for Pension Wise...
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)
Dispute resolution: Complaints (DISP) - Sourcebook or manual to which waivers of rules apply...
Financial Conduct Authority (FCA) (News)
Credit Unions (CRED) - Sourcebook or manual to which waivers of rules apply...
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...
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