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Final Notice 2017: Capita Financial Managers Limited [pdf]
This final notice refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a public censure. -
Lessons to learn from the GameStop episode
Learn what happened to the share price of retailer GameStop, how to spot the drawbacks of a risky investment and decide whether it’s right for you. -
Money laundering and terrorist financing
Find out more about the regulations and risk-based approach to anti-money laundering. -
Paul Feeney appointed Chair of the FCA’s Practitioner Panel
The Financial Conduct Authority (FCA) has appointed Quilter CEO Paul Feeney as the Chair of its independent Practitioner Panel. -
Final Notice 2019: Henderson Investment Funds Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 6 related to the unfair treatment of customers in the Asset Management sector. We imposed a financial penalty. -
Climate-related reporting requirements
The FCA's TCFD-aligned reporting requirements and our plans for extending the requirements. -
Innovation in financial services
Speech by Christopher Woolard, director of strategy and competition at the FCA, delivered at the FinanceAsia Annual Compliance Summit in Hong Kong on 10 November 2015. This is the text of the speech as drafted, which may differ from the delivered -
FCA issues its first decision under competition law
The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers. -
Understanding complaints root cause analysis
We recognise that firms of different size, scale and complexity have different systems for complaints. It is important for complaints root cause analysis (RCA) to distinguish between a symptom and the root cause of a complaint. This hypothetical -
Complaints handling review findings
The findings of our review of how Non-deposit Taking Mortgage Lenders (NDTMLs) and Mortgage Third-Party Administrators (MTPAs) handle complaints.