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Financial Conduct Authority (FCA)

Financial Conduct Authority (FCA) (News)
The purpose of these Questions and Answers is to provide information to Alternative Investment Fund Managers about:
  • Who is required to report transparency information.
  • What transparency information must be reported.
  • How the FCA will collect transparency information.
  • Registering and using GABRIEL to report transparency information.
  • Key dates on which FCA systems will support reporting of transparency information.
Financial Conduct Authority (FCA) (News)
This paper sets out the FCA’s proposed policy changes to its fee and levy regimes and forms part of the annual cycle of fees consultation...
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 proposed guidance relates to the Listing Rules and Disclosure and Transparency Rules...
Financial Conduct Authority (FCA) (News)
In this Policy Statement the FCA reports on the main issues arising from Consultation Paper 14/11 Retirement reforms and the Guidance Guarantee and publish the near final rules...
Financial Conduct Authority (FCA) (News)
Welcome to the ninth edition of Primary Market Bulletin...
Financial Conduct Authority (FCA) (News)
The FCA has published standards for the bodies responsible for delivering the Government’s new Guidance Guarantee aimed at those with defined contribution pensions...
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 Principle 11 related to threshold conditions in the general insurance and protection 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)
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)
This paper identifies the proposed changes to the Approved Persons Regime for Solvency II firms...
Financial Conduct Authority (FCA) (News)
The credit card market is one of the largest consumer credit markets that we regulate. 30 million consumers have a credit card accounting for £56.9 billion of outstanding debt...
Financial Conduct Authority (FCA) (News)
This is the PSR's first Annual Plan, and sets out our key aims and activities for the year 2014/15 - up to April 2015...
Financial Conduct Authority (FCA) (News)
The FCA has published the terms of reference for a credit card market study...
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 report presents the findings of a review of conflicts of interest arising from wealth management and private banking firms’ use of in-house investment products in retail discretionary and advisory investment portfolios...
Financial Conduct Authority (FCA) (News)
In this report Accenture has scanned worldwide innovations in payments for the UK Payment Systems Regulator...
Financial Conduct Authority (FCA) (News)
EDS Insure Ltd, an insurance broker, has ceased trading...
Financial Conduct Authority (FCA) (News)
In practice many financial services firms in the UK are formed of groups of legal entities, for example St Andrew’s Insurance Plc and Halifax Financial Brokers Limited are both parts of Lloyds Banking group. For C1 firms the 161 legal entities are part of 12 groups, which are mostly banking groups. These banking groups contain a variety of different legal entities which sell different financial products and have different permissions...
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)
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 Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh...
Financial Conduct Authority (FCA) (News)
Minutes: FCA Board 25 September 2014 has been published...
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)
The service standards portfolio provides information about key areas of FCA's service, how the FCA is performing and how firms and consumers assess the levels of satisfaction with FCA's service...
Financial Conduct Authority (FCA) (News)
Speech by John Griffith-Jones, Chairman of the FCA, at The Association of Professional Financial Advisers Annual Gala Dinner delivered at Banking Hall, London...
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 set out in this Final Notice, the FCA is taking action against Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd...
Financial Conduct Authority (FCA) (News)
The FCA has fined the Royal Bank of Scotland Plc, National Westminster Bank Plc and Ulster Bank Ltd £42 million for IT failures which occurred in June 2012 and meant that the Banks’ customers could not access banking services...
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 Financial Conduct Authority has been working with a number of major retail financial firms on a forward looking thematic review, aimed at identifying the areas that need improvement so that consumers get a better experience when they complain in future. This paper summarises the key findings of that work...
Financial Conduct Authority (FCA) (News)
Corporate Advances Ltd is in liquidation...
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 set out in this Final Notice, the FCA is taking action against Chase de Vere Independent Financial Advisers Limited...
Financial Conduct Authority (FCA) (News)
Financial firms have collaborated with the FCA on a thematic review and, as a result, have agreed to make improvements to the way they deal with consumer complaints...
Financial Conduct Authority (FCA) (News)
The FCA has fined Chase de Vere Independent Financial Advisers Limited £560,000 for failures surrounding the sale of Keydata products...
Financial Conduct Authority (FCA) (News)
Joint letter by FCA, PRA & HMRC in response to PCBS Recommendation 100 has been published...
Financial Conduct Authority (FCA) (News)
This report follows the Financial Services Authority’s 2011 report on Bank’s management of high money-laundering risk situations and the subsequent enforcement action and regulatory guidance...
Financial Conduct Authority (FCA) (News)
This report follows the Financial Services Authority’s 2010 report on Anti-bribery and corruption in commercial insurance broking and our subsequent regulatory guidance and enforcement action...
Financial Conduct Authority (FCA) (News)
The FCA invites views on amendments to FCA's regulatory guidance, Financial crime: a guide for firms...
Financial Conduct Authority (FCA) (News)
Speech by Martin Wheatley, Chief Executive of the FCA, at The Institute of Directors, London...
Financial Conduct Authority (FCA) (News)
The FCA has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk...
Financial Conduct Authority (FCA) (News)
Payment systems form a vital part of the UK’s financial system. Payment systems underpin the services that enable funds to be transferred between people and institutions...
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 new Payment Systems Regulator sets out how it proposes to regulate the £75 trillion payments industry when it becomes fully operational on 1 April 2015...
Financial Conduct Authority (FCA) (News)
Speech by John-Griffith Jones, FCA Chairman, at the CASS Business School, London. This is the text of the speech as drafted, which may differ from the delivered version...
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...
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