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FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches
We will continue to take action to ensure that procedures at firms meet our client asset requirements and action will be taken against firms that fall short.". ... The FCA continues to focus on the protection of client assets and recently published a -
Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money
The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs) -
Firms’ preparations to comply with the cryptoasset financial promotions regime – feedback on good and poor practice
The FCA met with various regulated cryptoasset firms to understand how prepared they were. See findings and examples of good and poor practice. -
FCA collaborates on new consultation to explore the opportunities of a Global Financial Innovation Network
The FCA has, in collaboration with 11 financial regulators and related organisations, announced the creation of the GFIN -
A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the IA Culture in Investment Management Forum -
Financial Services & Markets Act 2023 gives FCA new powers to protect access to cash
FCA’s new powers are an important step towards maintaining reasonable provision of cash deposit and withdrawal services. -
PS23/9: Finalised insurance guidance on supporting customers in financial difficulty’
FCA summarises the feedback received to CP23/1 on insurance guidance for supporting customers in financial difficulty and set out response and finalised guidance. -
Financial Conduct Authority outlines how it would use the temporary transitional power
The FCA has set out how it would use the temporary transitional power in the event the UK leaves the EU without an agreement. -
FG22/1: The FCA’s approach to the review of Part VII insurance business transfers
We set out our expectations on the steps for firms to take to make sure conduct issues are properly considered in Part VII transfers. -
Motor finance agreements and coronavirus: updated temporary guidance for firms
This guidance applies in the exceptional circumstances arising out of the coronavirus pandemic and its impact on the financial situation of motor finance customers.