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The importance of culture in driving behaviours of firms and how the FCA will assess this
Speech by Clive Adamson, Director of Supervision, the FCA, at the CFA Society - UK Professionalism Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
CP14/31: Strengthening accountability in banking: forms, consequential and transitional aspects
This CP follows our consultation in July, which proposed changes to the way individuals working for UK banks, building societies, credit unions and PRA-designated investment firms are assessed and held -
MiFID II costs and charges disclosures review findings
As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and -
FCA calls for consumers to think back, then act as PPI deadline closes in
With only one month to go until the 29 August 2019 PPI complaints deadline, the Financial Conduct Authority (FCA) is urging consumers to jog their memories back to the 1990s and 2000s when they may have bought products and were mis-sold PPI at the -
Key findings on our recent work on pension transfer advice
Pension transfers have been a priority for us throughout 2018. Our work has focussed in particular on those firms most active in the market. We have also looked more closely into some firms based on intelligence (for example whistleblowing) we -
Financial regulator sets out further reforms to improve markets and bolster competitiveness
FCA sets out further reforms to help strengthen the UK’s leading position as a global and vibrant financial centre. -
PS17/6: Disclosure rules following application of PRIIPs Regulation
02/05/2017. Last updated: 02/05/2017. In July 2016 we published CP16/18 setting out how we propose to reflect the Packaged Retail and Insurance-based Investment Products (PRIIPs) -
CP24/10: Joint PRA and FCA Consequential Amendments to BTS 2016/2251
We’re jointly consulting with the Prudential Regulation Authority (PRA) on proposed changes to the UK EMIR bilateral margin requirements. -
FSA bans and fines insurance broker Harbinder Panesar £212,237 for misappropriating money from his business and selling worthless policies
The Financial Services Authority (FSA) today banned insurance broker, Harbinder Panesar, from working in the financial services industry and fined him £212,237. -
Ulster Bank, NatWest and RBS to refund customers after computer problems
Ulster Bank, NatWest and Royal Bank of Scotland (RBS) are now working to refund and compensate customers affected by recent computer problems at the banks. Find out what this means for you.