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Briefing on the FCA’s consultation on its reward offer and trade union recognition
On 22 September, we began consulting with colleagues on our future reward offer. The offer ensures the FCA continues to provide one of the best employment packages of any regulator or enforcement agency in the UK. -
Defined Benefit (DB) transfers – further update on our work
We set out further findings from our assessment of the suitability of defined benefit (DB) transfer advice, as part of a package of measures to improve standards in this area. -
PS23/13: Introducing a gateway for firms who approve financial promotions
The FCA's final policy position and response to the feedback received to its consultation on introducing a gateway for firms who approve financial promotions. -
Beyond disclosure for high-risk investments: slow down and think
This article explores our research into risk warnings, decision points and self-certification, published in January 2021. -
Best practice note - Identifying, controlling and disclosing inside information
This note is for government departments, industry regulators and public bodies to help them in complying with the relevant obligations under MAR. -
The art of thinking independently together – why the regulator cares about diversity
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the LGBT in the Financial Services Industry Summit. -
Market abuse requires a dynamic response to a changing risk profile
Firstly, in the context of firms using off-the-shelf calibration settings for their alert parameters and using ‘average peer alert volumes as a measure of the appropriateness of their calibration’. ... Secondly, in the specific case of fixed income, -
Accepting pension transfer referrals from overseas advisers: UK authorised firms’ responsibilities
The FCA highlights the increased risks to consumers when overseas firms refer defined benefit scheme members to UK firms for pension transfer advice. -
Making competition king – the rise of behavioural economics at the FCA
Speech by Martin Wheatley, Chief Executive, the FCA, at the Australian Securities and Investments Commission (ASIC). This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches
On one occasion, an SEI employee who had not received any CASS training manually adjusted SEI’s client money requirement from the £14 million calculated using the internal client money reconciliation ... The FCA continues to focus on the protection of