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Market Watch 73
In this edition we share our observations and findings from our recent market abuse peer review into firms that offer Contracts for Difference products and spread bets. -
Portfolio letter for SIPP operators [pdf]
Our letter setting out expanded expectations of firms under the Consumer Duty -
2019 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2019. -
FCA business plan and risk outlook published
The Financial Services Authority (FSA) has published the business plan and risk outlook for the Financial Conduct Authority (FCA) for 2013/14. The FSA will be replaced by the FCA and the Prudential Regulation Authority (PRA) on 1 April 2013. -
The future of open banking and the Joint Regulatory Oversight Committee
On 5 June 2023, the Joint Regulatory Oversight Committee set out an ambitious programme of work to take forward recommendations for the next phase of open banking in the UK. This includes the creation of two regulator-led working groups. The groups -
Duty calls: Future-proofing finance for everyone
Now into the second year of its 3-year strategy, FCA outlines some key achievements and milestones from the last 12 months. -
FCA asks banks to reconsider branch closures during coronavirus lockdown
Firms are reminded to consider the impact of national restrictions on compliance with the Principles, given our existing guidance on branch closures. -
Financial promotions quarterly data 2023 Q3
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 July 2023 and 30 September 2023. -
Getting the right investor outcomes
Speech by William Amos, Director of Wholesale Banking and Investment Management at the Investment Week Fund Management Summit, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Annual attestation form for second and subsequent attestations and notification under SUP 16.28.9R [pdf]
Example attestation form relating to price setting for GI firms for subsequent years