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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 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. -
Potentially Anomalous Trading Ratio 2019/20
The FCA committed to developing and publishing additional measures that will further illustrate the state of UK markets. -
Inducements and conflicts of interest thematic review: key findings
We are not publishing a thematic report, as this work will be taken into account in our planned MiFID II consultation paper. ... Advisory firms incur costs when facilitating training or educational material supplied by product providers (eg setting up a -
PS13/3 Restrictions on the retail distribution of unregulated collective investment schemes and close substitutes
We are setting out our rules on unregulated collective investment schemes and close substitutes in relation to ordinary retail investors in the UK. -
PS17/11: Review of appropriate qualification exam standards
This Policy Statement sets out the final, updated appropriate exam standards (AES) for appropriate qualifications listed in the FCA's training and competence sourcebook. -
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. -
Ten years after Lehman: how accountants can make finance safer
Speech by Charles Randell, Chair of the Financial Conduct Authority and Payment Systems Regulator on how accountants can make finance safer. -
Further details of Independent Investigation of Interest Rate Hedging Products announced
John Swift QC has announced his full independent support team is now in place to conduct the investigation into the FSA’s (and subsequently the FCA’s) implementation and oversight of the Interest Rate Hedging Products (IRHP) Redress Scheme. -
FCA seeks legal clarity on business interruption insurance alongside package of measures to help consumers and small businesses
The FCA is announcing it intends to seek legal clarity on business interruption (BI) insurance.