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CP15/5: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firms
This paper affects relevant authorised persons and Solvency II firms. This paper does not affect insurance firms that are not subject to the Solvency II directive (non-directive firms). -
PS15/10: MIPRU Chapter 4 simplification: Feedback on CP14/28 and final rules
In this Policy Statement we summarise the feedback we received to the proposals contained in CP14/28 and give our responses. -
DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements
firms providing services in relation to insurance-based investments and pensions, and. -
Overall complaints fell by 1.4%, driven by a reduction in complaints related to current accounts and savings accounts. PPI complaints rise
Financial services firms received 2.11 million new complaints between July and December 2015, according to new complaints data published today by the Financial Conduct Authority. -
Debt management firms still failing Britain’s most vulnerable consumers, says FCA
car. The adviser not only failed to tell her this assumption may have been incorrect, but recommended a debt management plan that would take 125 years to pay off, well beyond -
FCA bans three individuals from working in the financial services industry for non-financial misconduct
The Financial Conduct Authority (FCA) has prohibited Russell David Jameson, Mark Horsey, and Frank Cochran from working in the financial services industry following findings that they are not fit and proper. Each of them had been convicted of -
Occasional Paper No. 9: Two plus two makes five? Survey evidence that investors overvalue structured deposits
Occasional Paper No. 9: Two plus two makes five? Survey evidence that investors overvalue structured deposits. Occasional papers First published:. 05/03/2015. Last updated: 05/03/2015. Occasional Paper No. 9: Two plus two makes five? Survey -
RMA-F Threshold conditions: help text
RMA-F Threshold conditions: help text -
PS15/28: Capital resources requirements for personal investment firms (PIFs): feedback on CP15/17 and final rules
Policy Statement on the main issues arising from CP15/17: Capital resources requirements for personal investment firms (PIFs) and publish the final rules. -
Information about reports made to the FCA about sexual misconduct and sexual discrimination - July 2020
The FCA provides on information about reports made to the FCA about sexual misconduct and sexual discrimination