Tag - FCA

FCA fines HSBC for AML transaction monitoring failings

17/12/2021

FCA fines for conflicts and gift & entertainment breaches

16/12/2021

FCA writes to Treasury Committee following Swift Review

15/12/2021

UK banks join forces to preserve access to cash

15/12/2021

Treasury Committee updates on Nat West correspondence

15/12/2021

FCA publishes review of supervisory intervention on IRHPs

14/12/2021

NatWest fined £264.8m for AML failings

13/12/2021

FCA issues final LIBOR publications for end-2021

10/12/2021

FCA and PRA publish dear CEO letter to global equity finance businesses

10/12/2021

FCA publishes update on Independent Review implementation

10/12/2021

FCA publishes second consultation on Consumer Duty

07/12/2021

FCA announces changes to its executive committee

06/12/2021

FCA considers FSCS operation review

06/12/2021

FCA and Practitioner Panel publish joint survey findings

03/12/2021

FCA publishes quarterly consultation paper

03/12/2021

FCA consults on improving AR regime

03/12/2021

FCA publishes consumer warning on firm

01/12/2021

FCA makes pensions “stronger nudge” rules

01/12/2021

FCA publishes policy statement on new CMC charging rules

29/11/2021

FCA publishes final rules on strong customer authentication

29/11/2021

FCA publishes mortgage prisoner review

29/11/2021

FCA publishes Frensham Wealth Limited supervisory notice

29/11/2021

FCA confirms changes to decision-making process

29/11/2021

FCA publishes final policy statement on IFPR

26/11/2021

Treasury provides update on Wholesale Markets Review

24/11/2021

UK Finance looks at operational resilience

24/11/2021

FCA updates on KPIs

23/11/2021

FCA publishes GI pricing attestation forms

22/11/2021

FCA updates on IFPR

22/11/2021

FCA recognises revised FX Global Code and Global Precious Metals Code

19/11/2021

FCA consults on debt packager referral fees ban

17/11/2021

Market Watch looks at web-based trading platforms

17/11/2021

FCA confirms more LIBOR rules

16/11/2021

FCA writes to funeral plan providers

15/11/2021

FCA publishes IFPR amendments

15/11/2021

FCA levies further fine for cum-ex trading controls

15/11/2021

FCA refuses SMF29 application

10/11/2021

FCA to issue compliance survey to GI firms

10/11/2021

Treasury consults on future regulatory framework

10/11/2021

FCA, BoE and FMSB sign MOU

09/11/2021

FCA confirms final rules on funeral plans regulation

08/11/2021

FCA updates on ESG priorities and publishes SDR discussion paper

04/11/2021

FCA publishes cum/ex financial crime warning notice

04/11/2021

FCA delivers speech on data-led regulation

03/11/2021

Complaints Commissioner publishes final report

02/11/2021

PRA and FCA “no comment” on Staley investigation

01/11/2021

FCA publishes regulatory initiatives grid

01/11/2021

FCA, PRA, TPR and FRC publish Climate Change Adaptation Reports

29/10/2021

FCA publishes updated complaints data

29/10/2021

FCA updates guidance on TPR landing slot changes

27/10/2021

FCA responds on NatWest

26/10/2021

FCA finalises LTAF rules

25/10/2021

FCA adds new question to GI pricing FAQs

22/10/2021

FCA makes new rules

22/10/2021

NAO updates on BSPS

22/10/2021

FCA publishes final IFPR rules

22/10/2021

Climate financial risk forum publishes guides on managing climate related risks

22/10/2021

FCA publishes 2020/21 Perimeter Report

21/10/2021

Treasury Committee seeks further information on NatWest action

20/10/2021

FCA fines Credit Suisse £147m for financial crime DD failings

20/10/2021

FCA modifies list of derivatives subject to derivatives trading obligation

19/10/2021

FCA writes to more DB customers about compensation

19/10/2021

FCA publishes financial promotions data

18/10/2021

FCA fines adviser for pension transfer advice failings

18/10/2021

Charles Randell to step down as FCA and PSR Chair

15/10/2021

Contactless card payment limit increased to £100

15/10/2021

FCA portfolio letter to Lloyd’s participants

13/10/2021

FCA looks at next steps in consumer credit regulation

11/10/2021

FCA publishes REP-CRIM data analysis

07/10/2021

Nat West pleads guilty to MLR offences

07/10/2021

FCA makes final rules on value for money in workplace pensions

04/10/2021

FCA updates GI pricing FAQs

01/10/2021

FCA updates rules on credit card instalment plans

01/10/2021

FCA portfolio letter to wealth management and stockbroking firms

30/09/2021

FCA consults on decisions on use of LIBOR

30/09/2021

FCA warns on credit intermediary application delays

28/09/2021

FCA delivers speech on diversity and inclusion

27/09/2021

Government publishes report on regulation of Football Index

24/09/2021

Up next from the regulators

23/09/2021

Treasury updates on economic crime levy

22/09/2021

Complaints Commissioner rejects unregulated investments complaint

21/09/2021

Responses published on future framework for regulation of financial services

20/09/2021

FCA speech: proposals for a new listing regime

17/09/2021

Measuring value for money in DC pension schemes

16/09/2021

FCA publishes insurer claims data

15/09/2021

FCA publishes consumer investment strategy

15/09/2021

Regulators write to firms on trade finance expectations

14/09/2021

Government and FCA respond on LCF Report

14/09/2021

Up next from FCA

14/09/2021

FCA consults on new cancellation and variation power

10/09/2021

FCA mortgage guidance to expire in October

08/09/2021

FCA launches 2021 Green FinTech Challenge

06/09/2021

FCA Chair speaks on risks of token regulation

06/09/2021

FCA calls for funeral plan providers and intermediaries to apply now

02/09/2021

FCA confirms pensions transfer redress guidance review

01/09/2021

Tribunal confirms FCA ban on IFA following sex offence

01/09/2021

FCA publishes supervisory notice against Dolfin Financial

27/08/2021

FCA publishes P2P strategy letter

26/08/2021

FCA publishes requirements on SIPP operator

25/08/2021

FCA publishes personal and commercial line insurance portfolio letter

25/08/2021