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Financial Conduct Authority (FCA)

Financial Conduct Authority (FCA) (News)
Between July and October 2014 the FCA consulted on Guidance (GC14/3) on how firms should interpret the boundaries of advice...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of APER 6, APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector...
Financial Conduct Authority (FCA) (News)
The FCA has fined and banned two former senior executives of interdealer broker Martin Brokers (UK) Limited for compliance and cultural failings at the 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 carrying out consumer credit activities in the UK without FCA's permission or authorisation...
Financial Conduct Authority (FCA) (News)
These Questions and Answers give information to Alternative Investment Fund Managers who may encounter problems when attempting to view AIF002 Fund Transparency Report schedules on GABRIEL...
Financial Conduct Authority (FCA) (News)
The FCA’s expectations of high-cost short-term lenders has been published...
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)
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)
It should be easier for consumers to compare cash savings accounts and then switch providers if they wish, said the FCA, following a market study that showed competition in the £700bn cash savings market often does not work well for consumers, particularly those with long-standing accounts...
Financial Conduct Authority (FCA) (News)
The FCA has fined Reckitt Benckiser Group Plc £539,800 for inadequate systems and controls to monitor share-dealing by its senior executives in its own shares...
Financial Conduct Authority (FCA) (News)
The Upper Tribunal has upheld the decision of the FCA to issue a public censure against Arch Financial Products LLP, and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior partner and former compliance officer, from performing any role in regulated financial services...
Financial Conduct Authority (FCA) (News)
These Questions and Answers give information to Alternative Investment Fund Managers who may encounter problems when attempting to view AIF002 Fund Transparency Report schedules on GABRIEL...
Financial Conduct Authority (FCA) (News)
In January 2015, the FCA published the final findings of FCA's cash savings market study and FCA's proposed remedies
Financial Conduct Authority (FCA) (News)
On 18 January 2015 Alpari (UK) Limited (Alpari) formally entered into Special Administration Regime insolvency proceedings...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of LR and DTR related to listing rules breaches in the issuer sector...
Financial Conduct Authority (FCA) (News)
Reminders make a notable difference to switching behaviour in savings accounts around the time of interest rate decreases...
Financial Conduct Authority (FCA) (News)
The Meeting noted there was a quorum present and proceeded to business...
Financial Conduct Authority (FCA) (News)
This Policy Statement reports on the main issues arising from Consultation Paper CP14/15 on the [Bank] Recovery and Resolution Directive (Directive 2014/59/EU)...
Financial Conduct Authority (FCA) (News)
This paper uses the transaction reporting data available to the UK FCA to analyse the structure and characteristics of the UK-listed bond markets and highlight features that should be considered when designing transparency regimes aimed at improving market functioning...
Financial Conduct Authority (FCA) (News)
The FCA and PRA are consulting on the Management Expenses Levy Limit for the Financial Services Compensation Scheme for 2015/16...
Financial Conduct Authority (FCA) (News)
The overall value of the residential loan amounts outstanding in Q3 2014 was £1,255.6 billion, an increase of 0.5% compared with Q2 2014 and an increase of 1.8% over the past four quarters...
Financial Conduct Authority (FCA) (News)
The FCA is consulting on procedural guidance relating to the competition powers we will get on 1 April 2015 and minor amendments to the FCA Handbook...
Financial Conduct Authority (FCA) (News)
The Payment Systems Regulator, the economic regulator for the UK’s £75 trillion payments industry, has appointed three heads of department to help lead the new organisation. The Payment Systems Regulator becomes operational on 1 April 2015...
Financial Conduct Authority (FCA) (News)
The FCA and Cifas have agreed a Memorandum of Understanding...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PSR related to the Payment Services Regulations in the payment services sector...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of Principle 11 related to threshold conditions in the investment adviser sector...
Financial Conduct Authority (FCA) (News)
The Financial Conduct Authority notifies that it temporarily prohibits short selling in the following instrument under Articles 23(1) and 26(4) of Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012...
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 notifies that it temporarily prohibits short selling in the following instrument under Articles 23(1) and 26(4) of Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012...
Financial Conduct Authority (FCA) (News)
Minutes: FCA Board 28 November 2014 has been published...
Financial Conduct Authority (FCA) (News)
Before Her Honour Judge Taylor at Southwark Crown Court, Alex Hope was found guilty by a jury of one count of fraud, having previously admitted a charge of operating a collective investment scheme without authorisation on 23 April 2014...
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 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 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)
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 has fined sponsor firm Execution Noble & Company Limited £231,000 for breaches of the listing rules in relation to sponsors...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of the Listing Rules related to failing to be open and co-operative in the sponsor 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)
This form should be completed by a firm undertaking an internal re-organisation...
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)
We need fees and levies information to calculate the amounts firms pay to the Financial Conduct Authority (FCA) Money Advice Services (MAS) and the Financial Ombudsman Service (FOS). Consumer credit is not covered by the FSCS. This guidance sheet provides details on the data to include within the firm's fee tariff data form...
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