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Financial Conduct Authority‘s Project Innovate celebrates first anniversary with plans for ‘regulatory sandbox’
The sandbox will allow businesses to test out new, innovative financial products, services or business models without incurring all the normal regulatory consequences of engaging in those activities. ... The FCA will now start engaging with stakeholders -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
Authorised fund managers’ assessments of their funds’ value
This review sets out our findings from our review, where we looked at the processes used by different Authorised Fund Managers (AFMs) when they carry out assessments of value (AoVs or 'Value Assessments') for the funds they operate. -
FCA and TPR outline a framework for value for money in defined contribution pension schemes
The FCA and The Pensions Regulator have published a joint discussion paper on developing a common framework for measuring value for money in defined contribution pension schemes. -
FCA opens a discussion on the impact of climate change and green finance on financial services
The Financial Conduct Authority (FCA) has today published a Discussion Paper on climate change and green finance. -
The FCA’s approach to supervising wealth management and private banking firms
Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA sets out next steps to improve competition in the UK’s asset management industry
The FCA has published the latest step in its response to the concerns identified through its asset management market study. This is part of a package of remedies to ensure fund managers compete on the value they deliver, and act in the interests of -
The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure
Prohibited insiders, especially market professionals, will be caught and be made to account to those they have misled. ... Attached to the CEO’s email to Mr Breeze was a presentation setting out the company’s plans for the funds raised through the -
New rules will protect consumers from harmful fee-charging credit broking practices, says FCA
New rules will protect consumers from harmful fee-charging credit broking practices, says FCA. ... Transparency: credit brokers will need:. to include their legal name (as it appears in the Financial Services Register) in all financial promotions and -
The Financial Conduct Authority warns clients of three debt management firms to review their debts
The FCA is reviewing the authorisation of all firms providing debt adjusting or debt counselling. ... Firms that formerly had an OFT licence will need to apply to FCA for authorisation no later than March 2016.