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TR13/9 - Anti-Money Laundering and Anti-Bribery and Corruption Systems and Controls: Asset Management and Platform Firms
Although previous regulatory action relating to anti-money laundering (AML) and anti-bribery and corruption (ABC) systems and controls failings has focused on the banking and insurance sectors, there are significant -
Investors in the EEA Life Settlements Fund should consider making a complaint now
The EEA Life Settlements Fund is an unregulated collective investment scheme made up of traded life insurance policies (TLPIs), based in Guernsey and previously listed on the Channel Islands Securities Exchange. -
GC14/7 Proposed guidance on financial crime systems and controls
and financial sanctions, and small commercial insurance brokers anti-bribery and corruption, systems and controls. ... TR14/17 Managing bribery and corruption risk in commercial insurance broking: update. -
Evaluation Paper 20/1: An evaluation of our rent-to-own price cap
This Evaluation Paper summarises our evaluation of our 2019 price cap intervention in the rent-to-own market (RTO). Evaluation is part of our Mission’s decision-making framework. Testing the effectiveness of our remedies helps us make better -
PS22/2: PRIIPs - Final scope rules and amendments to Regulatory Technical Standards
In this Policy Statement (PS22/2) we summarise the feedback we received to our consultation and confirm our final policy position. -
TR15/2: Structured Products: Thematic Review of Product Development and Governance
Our recent work in the structured products market has focused on better understanding consumer behaviour and the way that firms approach product development and governance. -
FCA fines Policy Administration Services Ltd £2.8 million for poor complaints handling of mobile phone insurance policies sold by Phones 4u Ltd
The Financial Conduct Authority (FCA) has fined Policy Administration Services Limited (PAS) £2,834,700 for poor complaints handling between June 2009 and September 2011, including failing to identify the root causes of recurring issues and put -
Business interruption test case: Written submissions MS Amlin and Ecclesiastical on the form of declarations [pdf]
Joint submissions of Ecclesiastical Insurance Office plc and MS Amlin Underwriting Limited in relation to their specific declarations. -
Financial services regulation and enforcement: recent developments and emerging issues
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA finds small firms need to manage financial crime risks more effectively
The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.