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The FCA has today published Decision Notices in respect of three former members of Keydata’s senior management: Stewart Ford, Mark Owen and Peter Johnson
In April 2010, the Financial Services Act 2010 amended section 391 of FSMA giving the FCA the power to publish decision notices. ... This power became active in October 2010. The FCA’s approach to publishing decision notices was explained in Policy -
Vector Wealth Ltd enters administration
We set out the steps Vector Wealth Ltd customers can take and advice on how to protect against scams by fraudsters claiming to be acting on behalf of the administrators. -
PS16/11: Complaints against the Regulators
In this Policy Statement we report on the main issues arising from CP16/6 and publish the final Complaints Scheme. ... This Policy Statement provides feedback on the response we have received and contains the finalised amendments. -
The view from the regulator on Operational Resilience
Speech by Megan Butler, FCA Executive Director of Supervision: Investment, Wholesale and Specialist, delivered on 5 December 2019 at 13.30 -
FCA sets out broad approach to assessing LCF Complaints
We set out our broad approach to assessing London Capital & Finance (LCF) complaints. -
Apply to approve an individual or firm
Find out what you need to know before submitting your application. -
High-cost credit: what next?
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at a New City Agenda event, Portcullis House, Westminster, London. -
Decision Notice: Tristan Freer (Director of BHIM) [pdf]
This decision notice (Tristan Freer (Director of BHIM)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that -
CP15/44: PSR regulatory fees 2016/17
The PSR is consulting on its proposed approach to the allocation, calculation and collection of PSR regulatory fees for 2016/2017. -
Asset management: A regulatory perspective
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at London Business School Annual Asset Management Conference.