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Admission to trading on a regulated market – Engagement Paper 1
We are asking for views on how we should approach setting requirements for issuers seeking to have securities admitted to trading on regulated markets under the new public offers and admissions to trading regime. -
City Week: how regulation can help the UK lead in Fintech
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry. -
DP23/2: Updating and improving the UK regime for asset management
The FCA wants your views on the current UK regime for regulating funds and asset managers. -
Early arrears management in unsecured lending: TR16/10
This report provides the findings from our thematic review into early arrears management in unsecured lending. The review looked at the way lenders treated customers in the early stages of arrears. -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
Article 23C Benchmarks Regulation – Draft notice of permitted legacy use by supervised entities [pdf]
Article 23C Benchmarks Regulation – Draft notice of permitted legacy use by supervised entities -
The FCA has fined Liberty Mutual Insurance Europe SE £5.2 million for failures in its oversight of mobile phone insurance claims and complaints handling
The Financial Conduct Authority (FCA) has fined Liberty Mutual Insurance Europe SE (Liberty) £5,280,800 for failures between 5 July 2010 and 7 June 2015 in its oversight of its mobile phone insurance claims and complaints handling processes -
How to flex your organisation's power through culture and conduct
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at City & Financial's Culture and Conduct Forum. -
Information on fines for lack of voice recording compliance - March 2022
The FCA provides information on fines for lack of voice recording compliance. -
Cyber resilience and supplier risk: moving beyond compliance
Speech delivered by Nausicaa Delfas, Chief Operating Officer at the FCA, at the Cyber Security Summit and Expo 2017