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Showing 781 to 790 of 1228 search results for Occasional papers First published.

  1. FCA proposes new rules on dealing commission for investment managers

    Press Releases Published: 25/11/2013 Last modified: 25/11/2013
    The Financial Conduct Authority (FCA) has today proposed improvements to the rules and new guidance over investment managers’ use of client commissions. These changes will ensure that charges paid by consumers for executing trades and related

  2. PS17/25: FAMR implementation part II and consultation on retiring FG12/15 and FG14/1

    Policy statements Published: 08/12/2017 Last modified: 11/05/2018
    This Policy Statement outlines the response to our consultation CP17/28: FAMR Implementation Part II and insistent clients, and announces a consultation on the retirement of guidance FG12/15 and FG14/1.

  3. CP13/4: Distribution of retail investments: referrals to discretionary investment managers and adviser complaints reporting

    Consultation papers Published: 04/07/2013 Last modified: 07/02/2022
    We are consulting on some aspects of how to apply rules from our Retail Distribution Review.

  4. CP18/11: Reviewing the funding of the Financial Services Compensation Scheme (FSCS)

    Consultation papers Published: 01/05/2018 Last modified: 15/04/2019
    We have made final rules to change how the FSCS is funded and are consulting on changes to our Professional Indemnity Insurance (PII) requirements for Personal Investment Firms (PIFs).

  5. FCA publishes thematic review of annuity sales practices

    Press Releases Published: 14/10/2016 Last modified: 24/11/2021
    The Financial Conduct Authority (FCA) publishes the findings of its thematic review of non-advised annuity sales practices. The FCA wanted to establish whether firms provided customers with sufficient information about enhanced annuities.

  6. FCA proposes new premium listing category for sovereign-controlled companies

    Press Releases Published: 13/07/2017 Last modified: 13/07/2017
    The Financial Conduct Authority (FCA) has today launched a consultation on proposals to create a new category within its premium listing regime to cater for companies controlled by a shareholder that is a sovereign country.

  7. Updates to the FCA’s directions under the Temporary Transitional Power

    Press Releases Published: 26/09/2019 Last modified: 26/09/2019
    Today, the Financial Conduct Authority (FCA) has updated and published draft directions under its Temporary Transitional Power (TTP). The TTP gives the FCA flexibility in applying post-Brexit requirements, allowing firms to transition to a new UK

  8. Financial Conduct Authority (FCA) publishes feedback statement on Duty of Care

    Press Releases Published: 23/04/2019 Last modified: 11/04/2024
    The FCA has summarised responses to its Discussion Paper – ‘A duty of care and potential alternative approaches’ – and sets out next steps.

  9. CP18/2: Financial Services Compensation Scheme - Management Expenses Levy Limit 2018/19

    Consultation papers Published: 18/01/2018 Last modified: 21/02/2018
    In a joint consultation with the Prudential Regulation Authority (PRA), we are consulting on the management expenses levy limit (MELL) for the Financial Services Compensation Scheme (FSCS). Management expenses are the operating costs of the FSCS.

  10. An evaluation of our guaranteed asset protection insurance intervention

    Corporate documents Published: 31/07/2018 Last modified: 20/12/2018
    In this paper, we evaluate our September 2015 add-on guaranteed asset protection (GAP) insurance intervention.