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Financial Conduct Authority (FCA)

Financial Conduct Authority (FCA) (News)
In this Feedback Statement the FCA summarises the feedback the FCA received on FCA's Call for Input: Regulatory barriers to innovation in digital and mobile solutions, set out FCA's response and explain the next steps in the context of the wider Project Innovate agenda...
Financial Conduct Authority (FCA) (News)
This discussion paper seeks feedback on a number of aspects of the client assets regime, in particular regarding the client money distribution rules (CASS 7A) and their interaction with the Special Administration Regime...
Financial Conduct Authority (FCA) (News)
The FCA has published a Discussion Paper, which seeks feedback on the FCA Client Assets sourcebook, specifically the client money distribution rules (CASS 7A), and how these rules work with the Special Administration Regime...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative 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 is applying the principles of the Senior Managers Regime to FCA's own senior managers including members of FCA's Board, Executive Committee and those carrying out Senior Management Functions...
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)
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 Senior Managers Regime for the banking sector and the Senior Insurance Managers Regime both come into force...
Financial Conduct Authority (FCA) (News)

The Policy Development Update provides information on:

  • 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)
In September 2015 we consulted on proposed guidance on our approach to ring-fencing transfer schemes and, more generally, our key responsibilities in supporting the wider implementation of ring-fencing in the UK...
Financial Conduct Authority (FCA) (News)
In line with the Financial Services Act 2012, the FCA and the Bank of England reviewed the operation in 2015 of their Memorandum of Understanding that sets out how they should co-operate with one another in relation to the supervision of markets and market infrastructure...
Financial Conduct Authority (FCA) (News)
As you are aware the FCA’s Business Plan 2014/15 set out that we would be conducting a thematic review looking at how life insurers are operating their closed-books and to determine if they are treating their closed-book customers fairly...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector...
Financial Conduct Authority (FCA) (News)
The FCA has published a report setting out its findings from its thematic review of the fair treatment of long-standing customers in life insurance as announced in its Business Plan 2014/15...
Financial Conduct Authority (FCA) (News)
The FCA is reporting the findings of FCA's thematic review which assessed how firms are operating their closed-books and whether they are treating their long-standing customers fairly...
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 modules of the FCA’s Handbook of rules and guidance SYSC, COCON and SUP are amended in accordance with the Annexes to this instrument...
Financial Conduct Authority (FCA) (News)
The Senior Management Arrangements, Systems and Controls sourcebook (SYSC) is amended in accordance with the Annex to this instrument...
Financial Conduct Authority (FCA) (News)
The FCA has banned Michael Ross Curtler, a former trader at Deutsche Bank AG, from the UK financial services industry for lacking honesty and integrity following a criminal conviction for fraud in the US...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector...
Financial Conduct Authority (FCA) (News)
In this Policy Statement the FCA report on the main issues arising from Consultation Paper 16/1 Consequential Changes to the Senior Managers Regime and publish the final rules...
Financial Conduct Authority (FCA) (News)
Following the making of the Payment Accounts Regulations 2015 (SI 2015/2038), the FCA is consulting on proposed changes to our Handbook...
Financial Conduct Authority (FCA) (News)
The FCA has announced that it will pilot the publication of general insurance 'scorecards' on a small number of products...
Financial Conduct Authority (FCA) (News)
The FCA has launched 'Live & Local', a regional programme which will include a series of events, workshops and roundtables, taking place across 12 regions in the UK...
Financial Conduct Authority (FCA) (News)
In this Feedback Statement the FCA summarises the responses the FCA has received to the options set out in FCA's June 2015 Discussion Paper on general insurance add-ons, and outline next steps...
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 Prudential Regulation Authority and FCA have notified the European Banking Authority that the regulators will comply with all aspects of the EBA Guidelines on Sound Remuneration Policies, except for the provision that the limit on awarding variable remuneration to 100% of fixed remuneration, or 200% with shareholder approval (the bonus cap), must be applied to all firms subject to the Capital Requirements Directive (Directive 2013/36/EU)...
Financial Conduct Authority (FCA) (News)
The European Market Infrastructure Regulation provides for the obligation of counterparties to clear OTC derivative contracts that have been declared subject to the clearing obligation...
Financial Conduct Authority (FCA) (News)
The FCA has been working with the Bank of England, at the request of the Financial Policy Committee, to assess risks posed by open-ended investment funds investing in the fixed income sector...
Financial Conduct Authority (FCA) (News)
The modules of the Handbook of rules and guidance Glossary, SYSC, COCON, GEN, IPRU(INV), MCOB, BCOBS, MAR, SUP, LR and PR 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)
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)
The modules of the FCA’s Handbook of rules and guidance TC, SUP and DISP are amended in accordance with the Annexes in this instrument...
Financial Conduct Authority (FCA) (News)
The modules of the FCA’s Handbook of rules and guidance Glossary, SYSC, GEN, GENPRU, INSPRU, IPRU(FSOC), IPRU(INS), COBS and SUP are amended in accordance with the Annexes to this instrument...
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 and 25 February 2016. It also contains information about other publications relating to the Handbook and, if appropriate, lists minor corrections made to previous instruments made by the Board...
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)
This final notice deals with a breach of COND...
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