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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. -
Financial crime controls at challenger banks
Ensuring the firms we regulate are effective in preventing financial crime, such as money laundering and sanctions evasion, remains a key priority. This includes testing the financial crime controls of new business models as they enter the UK -
FCA places restrictions on twice as many consumer investment firms this year
The FCA has placed restrictions on twice as many firms in the investment market compared to last year, as part of its strategy designed to prevent harm in the consumer investment market. -
Our emerging regulatory approach to Big Tech and Artificial Intelligence
Speech by Nikhil Rathi, our Chief Executive, delivered at The Economist, London. -
Mark Lyttleton sentenced to 12 months imprisonment for insider dealing
In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts -
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. -
FCA response to the independent panels’ annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports. -
Undertaking cashflow modelling to demonstrate suitability of retirement-related advice
Our work on reviewing defined benefit transfer advice and our ongoing supervisory work identified concerns about how firms prepare and use cashflow modelling. -
Consumer investments data review April 2021 – March 2022
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 31 March 2022. -
TR14/14 - Redress for payment protection insurance (PPI) mis-sales
By setting out clearly what has been achieved and what remains to be done, we hope this report will reassure stakeholders that the process for consumers to claim PPI redress is ... We anticipate publishing another, potentially final, update on the PPI