Tag - FCA

Christopher Woolard new FCA Interim Chief

24/01/2020

Treasury responds on MLD5

24/01/2020

FCA’s Firm Details Confirmation Requirements

Caroline Stevenson

24/01/2020

Financial Services AI public-private forum

Caroline Stevenson

24/01/2020

FCA writes supervisory priorities letter to financial advisers

22/01/2020

FCA updates on asset management supervisory strategies

22/01/2020

FCA and BoE outline initial expectations for firms transitioning from LIBOR to SONIA

Rachael Preston

20/01/2020

FCA and BoE encourage switch from LIBOR to SONIA from Spring 2020

Rachael Preston

20/01/2020

FCA updates AML pages

13/01/2020

FCA publishes portfolio management tool review

13/01/2020

FCA confirms crypto-AML requirements

10/01/2020

Up next from FCA

10/01/2020

FCA takes action against illegal deposit taker

10/01/2020

FCA outlines plan to simplify cash savings market

Caroline Stevenson

10/01/2020

FCA writes to boards on personal and commercial line harm

08/01/2020

UK regulators announce data reforms

08/01/2020

FCA writes to insurance CEOs on non-financial misconduct

06/01/2020

Regulators update on climate change action

Rachael Preston

19/12/2019

Tribunal upholds CMC fine

18/12/2019

FCA calls for input on open finance

17/12/2019

FCA fines CMC for misleading communications

17/12/2019

Open-ended funds review progresses

16/12/2019

FCA makes new rules

13/12/2019

FCA makes platform transfer rules

13/12/2019

Extension of the Senior Managers and Certification Regime comes into force

Rachael Preston

09/12/2019

FCA publishes quarterly consultation

06/12/2019

Up next from FCA

06/12/2019

Regulators develop work on Operational Resilience

Roseyna Jahangir

05/12/2019

CMA confirms amendment of Retail Banking Market Investigation Order 2017

Roseyna Jahangir

04/12/2019

Complaints Commissioner publishes responses

03/12/2019

The FCA publishes feedback on its ‘Duty of Care’ Discussion Paper

Rachael Preston

03/12/2019

FCA alerts investment firms to new management body form

03/12/2019

FCA publishes IDD general good table

29/11/2019

FCA secures £291,070 confiscation order against convicted fraudster

Rachael Preston

28/11/2019

FCA publishes ‘approving financial promotions’ webpage

Roseyna Jahangir

26/11/2019

FCA takes action on sale of mini-bonds to retail investors

Roseyna Jahangir

26/11/2019

FCA: New Form (cyber resilience questionnaire)

Caroline Stevenson

21/11/2019

Responsible Lending Changes Implementation Group meeting

Caroline Stevenson

21/11/2019

FCA addresses LIBOR transition issues

Roseyna Jahangir

20/11/2019

FCA fines for fund investor TCF failings

20/11/2019

FCA publishes GI distribution chain guidance

19/11/2019

FCA consults on fees

13/11/2019

FCA endorses SEC no action letter

12/11/2019

Up next from FCA

07/11/2019

FCA makes new rules

05/11/2019

FCA warning to CMCs – ‘play fair with PPI claims’

01/11/2019

Duty of Care Bill starts Parliamentary passage

30/10/2019

FCA confirms TPR extension

30/10/2019

FCA speaks on future of regulation

30/10/2019

Mortgages (Responsible Lending) Instrument 2019

Caroline Stevenson

29/10/2019

FCA confirms PSD2 SCA RTS standards to apply in event of no-deal Brexit

Roseyna Jahangir

28/10/2019

FCA outlines five steps to drive the future of regulation

Roseyna Jahangir

23/10/2019

FCA Guidance on new credit broking exemption for registered social landlords

Roseyna Jahangir

23/10/2019

Market Watch on PA dealing concerns

21/10/2019

FCA writes to UK Finance on SARs and STORs

21/10/2019

FCA publishes feedback statement on climate change disclosures

Roseyna Jahangir

16/10/2019

FCA consults on AML crypto supervision costs

15/10/2019

FCA consults on motor finance commission bans

15/10/2019

FCA updates change in control pages

15/10/2019

FCA provides Brexit preparations update for firms

Roseyna Jahangir

15/10/2019

SMCR conversion notification – FCA webpage provides explanation

Roseyna Jahangir

15/10/2019

FCA imposes £15.4m file for Principles breaches

Roseyna Jahangir

15/10/2019

Government responds on regulatory perimeter

10/10/2019

BoE to stress test for climate change risks

Roseyna Jahangir

09/10/2019

Market Watch Brexit special

08/10/2019

FCA publishes insurance pricing report

Roseyna Jahangir

08/10/2019

Up next from FCA

04/10/2019

Changes to Mortgage Reporting Requirements

Caroline Stevenson

03/10/2019

FCA publish PS19/25: Overdraft Pricing and Competition Remedies

Caroline Stevenson

03/10/2019

FCA fines Pru for non-advised annuity sales failings

30/09/2019

FCA makes new rules

30/09/2019

Estimated £3.4m redress due to unclear interest term in mortgage agreement

Roseyna Jahangir

26/09/2019

FCA announces next steps for unit-linked funds

24/09/2019

FCA pleased with MiFID 2 unbundling effects

19/09/2019

FCA updates on Brexit preparations

Roseyna Jahangir

17/09/2019

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

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