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RMA-G Training and competence: FAQs
RMA-G Training and competence: FAQs -
Control thresholds or bands
Learn about the different control bands for when you need to tell the FCA about a change in control. -
Apply to become a claims management company
Find out how to apply to the FCA for authorisation if you’re a claims management company (CMC) or you provide claims management activities. -
KKR (clone of FCA authorised firm)
Fraudsters copy the details of firms we authorise to try and convince people that their firm is genuine. Find out why you shouldn’t deal with this clone firm. -
FCA fines Henderson £1.9m for fund failings
The Financial Conduct Authority (FCA) has fined Henderson Investment Funds Limited (HIFL) £1,867,900 for failing to treat fairly more than 4,500 retail investors in two of its funds, Henderson Japan Enhanced Equity Fund and the Henderson North -
RIEL Investment (clone of FCA authorised firm)
We have published this statement in order to warn consumers against dealing with unauthorised firms. -
LIBOR – 6 months to go
Speech by Edwin Schooling Latter, FCA Director of Markets and Wholesale Policy, delivered at UK Finance's Commercial Finance Week -
The basic advice regime under MiFID II & IDD
The FCA explains the update that includes important information for firms selling stakeholder products using basic advice and the impact of MiFID II and IDD. -
Update on the LF Woodford Equity Income Fund
On 15 October 2019, Link Fund Solutions Ltd (LFS), the Authorised Corporate Director (ACD) of the LF Woodford Equity Income Fund (WEIF) announced that it will not seek to re-open the WEIF and instead, it will look to wind-up the fund as soon as -
Primary Market Bulletin 34
This edition consults on changes we propose to make to our Knowledge Base in relation to the prospectus regime.