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Financial Conduct Authority (FCA)

Financial Conduct Authority (FCA) (News)
The Supervision manual (SUP) is amended in accordance with the Annex to this instrument...
Financial Conduct Authority (FCA) (News)
The Glossary of definitions is amended in accordance with Annex A to this instrument. The Supervision manual (SUP) is amended in accordance with Annex B to this instrument. The Enforcement Guide (EG) is amended in accordance with Annex C to this instrument...
Financial Conduct Authority (FCA) (News)
The modules of the FCA Handbook of rules and guidance Glossary, FEES, LR and DTR are amended in accordance with the Annexes to this instrument...
Financial Conduct Authority (FCA) (News)
The Glossary of definitions is amended in accordance with Annex A to this instrument. The Fees manual (FEES) is amended in accordance with Annex B to this instrument...
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)
Regulation round-up January 2014 has been published...
Financial Conduct Authority (FCA) (News)
Former retail investment adviser, Ewan King, has been fined £19,900 and banned by the FCA from undertaking any regulated activity, after it was discovered that he had fabricated Statements of Professional Standing...
Financial Conduct Authority (FCA) (News)
Proposed new rules to ensure sponsors - typically investment banks and corporate finance specialists who assist issuers by advising them on their listing obligations - have the right skills, knowledge and expertise were published by the FCA for consultation...
Financial Conduct Authority (FCA) (News)
For the reasons given in this Final Notice, the Authority hereby imposes on Ewan King, pursuant to section 66 of the Act, a financial penalty of £19,900...
Financial Conduct Authority (FCA) (News)
This consultation paper sets out FCA's proposals to amend the Listing Rules and Guidance on sponsor competence as well as seeking market views on joint sponsor arrangements...
Financial Conduct Authority (FCA) (News)
The FCA believes this firm has been claiming to be regulated by us when in fact it is not...
Financial Conduct Authority (FCA) (News)
The FCA has appointed Promontory Financial Group and Mazars to conduct an independent skilled persons report under section 166 of the Financial Services and Markets Act 2000...
Financial Conduct Authority (FCA) (News)
Minutes: Coordination Committee on emerging conduct risks - 18 March 2013 has been published...
Financial Conduct Authority (FCA) (News)
The Authority hereby makes an order effective from the date of this Notice, pursuant to section 56 of the Act, prohibiting Mr Verrier from performing any function in relation to any regulated activity carried on by any authorised or exempt person or exempt professional firm, because it appears to the Authority that Mr Verrier is not a fit and proper person due to concerns over his integrity given the conduct described in this Notice...
Financial Conduct Authority (FCA) (News)
The FCA has banned Anthony Verrier from performing any function in relation to any regulated activity in the financial services industry...
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)
Compensation has begun to be paid by financial advisers to people who invested in the CF Arch cru Investment and Diversified funds as a result of unsuitable advice...
Financial Conduct Authority (FCA) (News)
The FCA notifies that it temporarily restricts short selling in the following instrument under Article 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)
These guidelines set out FCA’s approach for assessing banking applications...
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)
For the reasons given in this notice, the Authority hereby imposes on 7722656 Canada Inc formerly carrying on business as Swift Trade Inc a financial penalty of £8,000,000 for engaging in market abuse...
Financial Conduct Authority (FCA) (News)
This Memorandum of Understanding sets out the framework for co-operation and collaboration between the Financial Conduct Authority and the Scottish Charity Regulator...
Financial Conduct Authority (FCA) (News)
Kensington Mortgage Company Limited has agreed not to rely on a number of terms in the Money Partners Limited Mortgage Conditions Booklet 2004 England and Wales (‘the MPL Mortgage Conditions’) for which Kensington is the lender of record. This change affects all 6,078 customers who have Kensington mortgages that are subject to the MPL Mortgage Conditions...
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 has fined Standard Bank PLC £7,640,400 for failings relating to its anti-money laundering policies and procedures over corporate customers connected to politically exposed persons...
Financial Conduct Authority (FCA) (News)
For the reasons given in this Notice and pursuant to Regulation 42 of the Money Laundering Regulations 2007 (SI 2007/2157), the Authority has decided to impose on Standard Bank PLC a civil penalty of £7,640,400 for failing to comply with Regulation 20(1) of the ML Regulations and other relevant Regulations...
Financial Conduct Authority (FCA) (News)
The Supervision manual (SUP) is amended in accordance with the Annex to this instrument...
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 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)
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)
This joint FCA and Prudential Regulation Authority consultation paper outlines the proposed management expenses levy limit (MELL) for the Financial Services Compensation Scheme for 2014/5. The MELL consulted on for 2014/15 is £80m...
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 has appointed Promontory Financial Group and Mazars to conduct an independent skilled persons report under section 166 of the Financial Services and Markets Act 2000...
Financial Conduct Authority (FCA) (News)
In finalised guidance on inducements, the FCA makes it clear that financial advisers and product providers share the responsibility of managing potential conflicts of interests when receiving and making payments under service and distribution agreements...
Financial Conduct Authority (FCA) (News)
One of the central objectives of the Retail Distribution Review was to remove the potential for adviser remuneration to distort the advice consumers receive...
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)
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)
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)
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 Regulatory Decisions Committee is responsible for taking decisions on whether to refuse or grant contested applications into the regulated community, and issuing warning and decision notices for certain enforcement cases on behalf of the FCA...
Financial Conduct Authority (FCA) (News)
The FCA, with the assistance of the City of London Police, executed search warrants at six addresses in Kent, Essex, and Bedfordshire...
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