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Information on enforcement cases/investigations - August 2020
We prvide information on how many enforcement cases/investigations targeting individuals were opened by us over the last two years. -
Primary Market Bulletin 31
Welcome to the 31st edition of the Primary Market Bulletin (PMB) -
Advising on pension transfers – our expectations
Check the FCA requirements when you provide advice on pension transfers. -
Information on Cum-Ex trades-November 2022
FCA provides information on Ex trades. -
FCA bans two individuals for lack of integrity
He arranged for this to be paid directly into a bank account in his name. ... To support this it has three operational objectives: to secure an appropriate degree of protection for consumers, to protect and enhance the integrity of the UK financial -
Becoming an appointed representative if you’re a funeral plan intermediary
Find out how to become an appointed representative (AR) that sells and distributes funeral plans on behalf of a principal firm. -
Tribunal bans former trader for lying to the FCA and the Tribunal
Given this finding the Tribunal allowed Hobbs’ reference and directed the FCA to take no action against him. ... The final notice for Andrew Charles Kerr. -
FCA publishes final guidance on concurrent competition powers
The Financial Conduct Authority (FCA) has today published the final guidance on its concurrent competition powers together with a policy statement setting out its responses to feedback received during the consultation ... to refer markets to the -
FCA confirms greater access for SMEs to the Financial Ombudsman Service
The Financial Conduct Authority (FCA) has today confirmed plans to extend access to the Financial Ombudsman Service (‘the ombudsman service’) to more small and medium-sized enterprises (SMEs). -
Dealing with EEA firms and investment funds
What to check if you’re dealing with an EEA firm in supervised run-off (SRO) or contractual run-off (CRO), or a fund in the temporary marketing permission regime (TMPR).