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Financial Conduct Authority (FCA)

Financial Conduct Authority (FCA) (News)
This is an open consultation on transaction cost disclosure in workplace pensions...
Financial Conduct Authority (FCA) (News)
This document lists the minor corrections and clarifications that the FCA have made to the Handbook, other than those made by Handbook Administration instrument...
Financial Conduct Authority (FCA) (News)
The FCA believe 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 authorise to try to convince people that they work for a genuine, authorised firm...
Financial Conduct Authority (FCA) (News)
The FCA believe this firm has been providing financial services or products in the UK without their authorisation...
Financial Conduct Authority (FCA) (News)
The FCA believe this firm has been providing financial services or products in the UK without their authorisation...
Financial Conduct Authority (FCA) (News)
The FCA believe this firm has been providing financial services or products in the UK without their authorisation...
Financial Conduct Authority (FCA) (News)
The FCA has instituted criminal proceedings against Mark Alexander Lyttleton (date of birth 9 June 1971), a former Investment Portfolio Manager at Blackrock Investment Management (UK) Ltd. Mr Lyttleton is charged with three counts of insider dealing, contrary to Section 52(1) of the Criminal Justice Act 1993...
Financial Conduct Authority (FCA) (News)
The FCA are consulting on their third set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook...
Financial Conduct Authority (FCA) (News)
The FCA are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms...
Financial Conduct Authority (FCA) (News)
The FCA have conducted an in-depth supervisory review of the SoRs and responsibilities maps supplied with grandfathering notifications for all ‘fixed’ firms (those with an allocated supervisor) in scope of the regime and a sample of ‘flexible’ firms (no allocated supervisor), representing all the sectors and types of firms...
Financial Conduct Authority (FCA) (News)
The FCA have conducted an in-depth supervisory review of the SoRs and responsibilities maps supplied with grandfathering notifications for all ‘fixed’ firms (those with an allocated supervisor) in scope of the regime and a sample of ‘flexible’ firms (no allocated supervisor), representing all the sectors and types of firms. This review included a number of non-EEA branches. The review considered to what extent we believed that firms had complied with the relevant rules and guidance in the Handbook for...
Financial Conduct Authority (FCA) (News)
The FCA have conducted an in-depth supervisory review of the SoRs and responsibilities maps supplied with grandfathering notifications for all ‘fixed’ firms (those with an allocated supervisor) in scope of the regime and a sample of ‘flexible’ firms (no allocated supervisor), representing all the sectors and types of firms. This review included a number of EEA branches. The review considered to what extent we believed that firms had complied with the relevant rules and guidance in the FCA Handbook for...
Financial Conduct Authority (FCA) (News)
The FCA have conducted an in-depth supervisory review of the SoRs and responsibilities maps supplied with grandfathering notifications for all ‘fixed’ firms (those with an allocated supervisor) in scope of the regime and a sample of ‘flexible’ firms (no allocated supervisor), representing all the sectors and types of firms. This review included a number of credit unions...
Financial Conduct Authority (FCA) (News)
Alex Hope was sentenced to 603 days’ imprisonment for failing to pay the full value of a confiscation order made against him...
Financial Conduct Authority (FCA) (News)
The FCA will mark six months since the implementation of the Senior Managers’ and Certification Regime by providing feedback on implementation so far and proposing measures to further strengthen the regime...
Financial Conduct Authority (FCA) (News)
Speech by Jonathan Davidson, Director of Supervision - retail and authorisations at the FCA, at the Future of Lending Conference...
Financial Conduct Authority (FCA) (News)
This decision notice refers to breaches of money laundering regulations 2007 related to failing to be open and co-operative in the trading firm sector...
Financial Conduct Authority (FCA) (News)
This decision notice refers to breaches of PRIN 4, PRIN 11, COND, MIPRU and SUP related to failing to be open and co-operative and threshold conditions in the regulated home finance sector...
Financial Conduct Authority (FCA) (News)
In this Policy Statement, the FCA report on the main issues arising from Consultation Paper CP15/31 (Strengthening accountability in banking and insurance: regulatory references) and publish the final rules...
Financial Conduct Authority (FCA) (News)
The FCA are launching a discussion to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime...
Financial Conduct Authority (FCA) (News)
The FCA are consulting on their proposed approach to apply new whistleblowing requirements to UK branches of overseas banks. It does not apply to UK branches of overseas insurers...
Financial Conduct Authority (FCA) (News)
The FCA is consulting on proposals to amend the Decision Procedure and Penalties Manual (DEPP) that will give guidance on how we will enforce the ‘duty of responsibility’...
Financial Conduct Authority (FCA) (News)
The FCA are consulting on applying their Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (relevant authorised persons - RAPs) and insurance firms...
Financial Conduct Authority (FCA) (News)
The FCA is consulting on proposals to help firms understand the rules that apply to their remuneration policies and practices, as we bring some of our provisions in line with the European Banking Authority Guidelines on sound remuneration policies and publish new non-Handbook guidance...
Financial Conduct Authority (FCA) (News)
This instrument makes changes that form part of the new accountability regimes introduced in March this year for deposit takers and investment firms regulated by the Prudential Regulation Authority. Some changes will also be of interest to other authorised firms. The changes to the rules provide firms with tools to share relevant information and better assess a new potential recruit’s fitness and propriety. This instrument comes into force on 7 March 2017...
Financial Conduct Authority (FCA) (News)
The FCA believe consumers should be wary of dealing with OneCoin, which claims to offer the chance to make money through the trading and ‘mining’ of virtual currencies...
Financial Conduct Authority (FCA) (News)
The FCA’s Market Watch newsletter periodically considers current market conduct and transaction reporting issues...
Financial Conduct Authority (FCA) (News)
"There was a physical hardware incident at a supplier's data centre on Friday; we put in place our recovery arrangements and they have operated as planned..."
Financial Conduct Authority (FCA) (News)
On 22 September 2016 at 3.50pm, Solo Capital Partners LLP formally entered into Special Administration Regime insolvency proceedings...
Financial Conduct Authority (FCA) (News)
Fraudsters are using the details of firms the FCA authorise to try to convince people that they work for a genuine, authorised firm...
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 September 2016, and rules and standard terms also made by the Financial Ombudsman Service on 21 September 2016. It also contains information about other publications relating to the Handbook...
Financial Conduct Authority (FCA) (News)
This instrument makes changes to the Training and Competence sourcebook (TC) with effect from 23 September 2016...
Financial Conduct Authority (FCA) (News)
This instrument makes changes to the Glossary, Fees manual (FEES), Mortgages and Home Finance: Conduct of Business sourcebook (MCOB), Supervision manual (SUP), Compensation sourcebook (COMP), Consumer Credit sourcebook (CONC) and Perimeter Guidance manual (PERG) with effect from 23 September 2016...
Financial Conduct Authority (FCA) (News)
This instrument makes changes to the Glossary, Senior Management Arrangements, Systems and Controls sourcebook (SYSC), Client Assets sourcebook (CASS), Supervision (SUP) and Collective Investment Schemes sourcebook (COLL) with effect from 13 October 2016...
Financial Conduct Authority (FCA) (News)
This instrument makes changes to the Supervision manual (SUP) with effect from 31 October 2016 and 31 December 2016...
Financial Conduct Authority (FCA) (News)
This instrument makes changes to the Glossary, Supervision manual (SUP), Decision Procedure and Penalties Manual (DEPP), Dispute Resolution: Complaints sourcebook (DISP) and the Enforcement Guide (EG) with effect from 1 October 2016...
Financial Conduct Authority (FCA) (News)
This instrument makes changes to the Fees manual (FEES) with effect from 1 October 2016...
Financial Conduct Authority (FCA) (News)
This instrument makes changes to the Glossary, Collective Investment Schemes sourcebook (COLL) and Investment Funds sourcebook (FUND) with effect from 13 January 2017...
Financial Conduct Authority (FCA) (News)
This instrument makes changes to the Glossary, Collective Investment Schemes sourcebook (COLL) and Investment Funds sourcebook (FUND) with effect from 1 October 2016...
Financial Conduct Authority (FCA) (News)
Which? today submitted a super-complaint to the Payment Systems Regulator and the FCA calling on them to ensure banks better protect customers who are tricked into transferring money to a fraudster...
Financial Conduct Authority (FCA) (News)
Summary of existing Pillar 2 policy arising from CRD IV and the publication of EBA SREP guidelines...
Financial Conduct Authority (FCA) (News)
To assess the extent to which Significant IFPRU Investment Firms are following CRD IV governance requirements...
Financial Conduct Authority (FCA) (News)
This final notice refers to breaches of PSR related to failing to be open and co-operative and payment services regulations in the payment services sector...
Financial Conduct Authority (FCA) (News)
Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, delivered at the BBA FinTech Banking Conference...
Financial Conduct Authority (FCA) (News)
The FCA has published a feedback statement following its Call for Input on Big Data in retail general insurance...
Financial Conduct Authority (FCA) (News)
Price discrimination is widespread across financial services. Often this will not be a concern, this paper highlights when it may and how to make the assessment...
Financial Conduct Authority (FCA) (News)
Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the FT Cyber Security Summit...
Financial Conduct Authority (FCA) (News)
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference...
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 consumer credit sector...
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