Tag - FCA

CMA consults on amending Retail Banking Market Investigation Order 2017

Roseyna Jahangir

12/09/2019

FCA offers Brexit help

11/09/2019

FCA updates SMCR resources

11/09/2019

FCA prosecutes for document destruction

10/09/2019

FCA updates on consultations and feedback

10/09/2019

FCA postpones wholesale market data Call for Input

Roseyna Jahangir

10/09/2019

FCA publishes quarterly consultation

09/09/2019

FCA publishes Directory entry form

06/09/2019

FCA speaks on skimmers and scammers

05/09/2019

FCA publishes SCA webpage

Roseyna Jahangir

04/09/2019

FCA explains views on electoral polling and MAR

04/09/2019

FCA updates on Remuneration Code expectations

28/08/2019

FCA create implementation group for mortgage changes

Caroline Stevenson

27/08/2019

FCA tells CMCs to raise advertising standards

Natasha Brownlee

23/08/2019

FCA publish data on current account providers

Caroline Stevenson

23/08/2019

FCA ‘Dear CEO’ letter on SCA published

Roseyna Jahangir

21/08/2019

Tribunal partially overturns FCA on lack of integrity consequences

19/08/2019

FCA provides more time to implement Secure Customer Authentication

Natasha Brownlee

13/08/2019

FCA updates skilled persons statistics

07/08/2019

FCA explains UCITS liquidity problem

07/08/2019

FCA publishes SMCR stocktake report

05/08/2019

Up next from FCA

05/08/2019

Treasury Committee calls for FCA powers on perimeter changes

05/08/2019

Market Watch focuses on insider dealing risks

05/08/2019

New FCA webpages on SMCR extension to FCA solo-regulated firms

02/08/2019

FCA’s Final Guidance on Cryptoassets published

Roseyna Jahangir

31/07/2019

FCA publishes regulatory data transfer agreement

26/07/2019

FCA publishes SMCR final rules

26/07/2019

Tribunal refuses suspension application

25/07/2019

FCA updates on London Capital & Finance investigation

25/07/2019

FCA Alternative to High-cost Credit Report

Caroline Stevenson

25/07/2019

FCA consults on vulnerable customer guidance

23/07/2019

Updated FCA and PRA MoU published

Roseyna Jahangir

23/07/2019

FCA writes Dear CEO letter on harm risks in wealth management

23/07/2019

FCA fines Standard Life for non-advised sales failings

23/07/2019

FCA publishes feedback statement on fair pricing

Roseyna Jahangir

23/07/2019

Regulatory framework review underway

22/07/2019

FCA to help travel insurance customers with pre-existing medical conditions

Roseyna Jahangir

18/07/2019

FCA discusses AI in financial services

Roseyna Jahangir

16/07/2019

FCA invites feedback on Gabriel replacement

Roseyna Jahangir

16/07/2019

FCA Multi-firm review: Retail Banking: Business Continuity Planning

Caroline Stevenson

12/07/2019

FCA updates on SMCR final rules

10/07/2019

FCA publishes annual report

09/07/2019

FCA updates MLR registration page

09/07/2019

FCA updates SMCR page

08/07/2019

FCA reviews non-bank PSP safeguarding

04/07/2019

FCA speaks on regulating innovation

02/07/2019

UK financial regulators publish climate change Joint Declaration

Roseyna Jahangir

02/07/2019

ESMA leaves product intervention to Member States

02/07/2019

FCA makes CFD limiting rules

01/07/2019

FCA launch Credit Information Market Study

Caroline Stevenson

01/07/2019

CMA Reviews Part 6 of Retail Banking Market Investigation Order 2017

Angie Bamboulis

01/07/2019

FCA announces insider dealing imprisonment for former compliance officer

01/07/2019

FCA launches credit information market study

Roseyna Jahangir

28/06/2019

FCA confirms market code recognition

27/06/2019

FCA publishes general insurance Notice of Undertaking

Roseyna Jahangir

26/06/2019

Bank fined £45.5 million for failure to share suspicions of fraud with FCA

Roseyna Jahangir

21/06/2019

CMA may be given enhanced powers to impose fines for consumer law breaches

Roseyna Jahangir

19/06/2019

FCA publishes first perimeter report

19/06/2019

CMA updates on loyalty penalty work

19/06/2019

FCA to take no further action on RBS GRG

14/06/2019

FCA consults on financial resources

13/06/2019

FCA announces BNPL rules

Caroline Stevenson

12/06/2019

Terms of Reference of the Joint Authorities Cash Strategy Group

Angie Bamboulis

11/06/2019

FCA finds culture the main issue in capital market AML review

10/06/2019

Up next from FCA

10/06/2019

FCA consults on Gibraltar and SMCR Handbook changes

07/06/2019

FCA publishes overdraft cost reform rules

Caroline Stevenson

07/06/2019

FCA and PRA Joint Statement on LIBOR preparations

Angie Bamboulis

05/06/2019

FCA and Dutch Authority agree on closer partnership

Angie Bamboulis

05/06/2019

FCA tells CMCs what it expects

05/06/2019

FCA Publish Final Rules on Loan-based and Investment-based Crowdfunding Platforms

Caroline Stevenson

04/06/2019

PRA and FCA impose £1.89m fine for outsourcing failures

Roseyna Jahangir

30/05/2019

FCA feedback on conduct questions for wholesale banks

Roseyna Jahangir

28/05/2019

FCA publishes asset management competition breach case study

24/05/2019

London Capital & Finance investigation starts

23/05/2019

FCA publishes unfair term undertaking

23/05/2019

Fund umbrella providers come under fire

22/05/2019

Inside FCA Podcast: Andrew Bailey on the Business Plan and future of regulation

Caroline Stevenson

14/05/2019

Treasury committee report on access to financial services

Caroline Stevenson

13/05/2019

FCA publishes undertaking on unfair contract term

Caroline Stevenson

10/05/2019

FCA helps investors in unregulated mini-bonds

07/05/2019

FCA starts intergenerational finance debate

Roseyna Jahangir

03/05/2019

FCA calls for input on FAMR and RDR

01/05/2019

FCA fines for market abuse control failings

30/04/2019

FCA heralds Innovate success

29/04/2019

FCA announce delay of publication of rules for CFD

Natasha Brownlee

26/04/2019

FCA confirms miscellaneous new rules

26/04/2019

With-profits firms should review consumer harm risks

26/04/2019

Andrew Bailey looks at the future of financial conduct regulation

Natasha Brownlee

24/04/2019

FCA publishes enforcement and supervision ‘Approach’ documents

Roseyna Jahangir

24/04/2019

FCA publishes PFOF findings

24/04/2019

FCA consults on fees

23/04/2019

FCA publishes research agenda

23/04/2019

FCA prioritises culture, customers and crime prevention

23/04/2019

FCA publish feedback statement on duty of care

Caroline Stevenson

23/04/2019

Wholesale brokers ignore Dear CEO letter at their peril

18/04/2019

FCA proposes 2 new duties for IGCs

18/04/2019

FCA publish thematic review on GI distribution chain

Caroline Stevenson

10/04/2019

FCA fines SCB £100m for AML failings

10/04/2019

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