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Personal investment firms that give bad advice to hold capital for redress
Our proposals to require personal investment firms to set aside capital so that they can cover compensation costs. -
Final Notice 2021: Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited [pdf]
This Final Notice (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) refers to breaches of PRIN 3 and PRIN 7 related to communications with -
Final Notice: Hale Financial Services Limited [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the investment advisory sector. We imposed a cancellation. -
LAMP Insurance Company Limited (LAMP) has entered into liquidation
LAMP is an insurance firm authorised and regulated by the Gibraltar Financial Services Commission (GFSC) -
Information on the numbers of cyber incidents reported to the FCA - August 2020
We hold Information on the numbers of cyber incidents reported to the FCA in response to previous requests. -
Information on COVID 19 BI claims brokers - December 2022
Information on Covid 19 BI claims brokers. -
Towards end of the transition period: getting ready for a new environment
Speech delivered by Nausicaa Delfas, Executive Director of International, at the UK’s Regulatory Regime for Financial Services Summit. -
Retail Mediation Activities Return (RMAR) information - October 2020
FCA provides Retail Mediation Activities Return (RMAR) information -
Information on Covid whistleblowing reports for 2020/21 - August 2021
The FCA provides information on the covid-specific whistleblower allegations referred to in the FCA's annual report for 2020/21. -
FCA reappoints Chair of the Financial Ombudsman Service for a second term
Baroness Zahida Manzoor CBE has been reappointed as Chair of the Financial Ombudsman Service.