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  1. Personal investment firms that give bad advice to hold capital for redress

    Press Releases Published: 29/11/2023 Last modified: 30/11/2023
    Our proposals to require personal investment firms to set aside capital so that they can cover compensation costs.

  2. The view from the regulator: developing our approach

    Speeches Published: 10/03/2017 Last modified: 10/03/2017
    Speech by Mary Starks, Director of Competition at the FCA, delivered at the AIC conference ‘Making choices in uncertain times’.

  3. FCA updates retirement income market study terms of reference

    Press Releases Published: 09/06/2014 Last modified: 09/06/2014
    guarantee. It will also feed into the consultation on the implementation of the guidance guarantee. ... We will now publish this later in the year. The revised Terms of Reference.

  4. CASS compliance – the bigger picture

    Speeches Published: 02/12/2014 Last modified: 19/12/2014
    Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Collaborate to compete: why we must all embrace a growth mindset

    Speeches Published: 16/10/2023 Last modified: 18/10/2023
    Speech by Nikhil Rathi, Chief Executive, FCA, delivered at the City Dinner, Mansion House.

  6. Enhancing the UK’s capital markets – The FCA’s role and priorities

    Speeches Published: 08/02/2022 Last modified: 08/02/2022
    Speech by Sarah Pritchard, Executive Director, Markets, to City & Financial Global’s The Future of UK Financial Regulation Summit.

  7. Get-rich-quick, Ponzi and pyramid schemes

    Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
    Find out how get-rich-quick schemes like Ponzi and pyramid schemes work, how to avoid scams and what to do if you’re scammed.

  8. The public offer platform - Engagement Paper 5

    Calls for input Published: 13/07/2023 Last modified: 12/12/2023
    We are asking for views on our initial thinking about rules for the new regulated activity of operating a public offer platform under the new public offers and admission to trading regime.

  9. FCA reforms to enhance the effectiveness of UK primary markets

    Press Releases Published: 26/10/2017 Last modified: 26/10/2017
    The Financial Conduct Authority (FCA) has today set out a package of measures designed to ensure that the UK’s primary capital markets remain effective.

  10. FCA reviews how fund charges are set out

    Press Releases Published: 13/05/2014 Last modified: 13/05/2014
    We are therefore today encouraging all firms to respond to our findings and adopt the clarity and consistency we believe to be important.”. ... designed all marketing material for retail customers to avoid the risk of retail investors being confused by
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