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Second Supervisory Notice 2019: London Capital & Finance PLC [pdf]
This second supervisory notice (London Capital & Finance PLC) refers to communications in relation to the firm's 'Fixed Rate ISA or Bond' which the FCA considers to be misleading, not fair, not clear and in breach of COBS 4.2.1R. We imposed -
To-do-list tension - UK households face an average of 33 tasks a week
75% of UK adults set to tackle their to-do-list over the Bank Holiday weekend ‘Sorting out finances’ is the UK’s most popular task, as the FCA encourages public to check whether they’re eligible to claim for PPI Rachel Riley and Mr -
The Financial Conduct Authority outlines how it will regulate crowdfunding
Consumers need to be clear on what they’re getting into and what the risks of crowdfunding are. ... Any promotions (such as print, broadcast or online advertising) must be fair, clear and not misleading. -
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 -
FCA publishes Decision Notice against Jon Frensham for non-financial misconduct
The FCA has published a Decision Notice in respect of Jon Frensham (formerly known as Jonathan James Hunt), an independent financial adviser and the sole director at Frensham Wealth Limited. -
FCA discussion paper calls on firms to deliver smarter, effective communications
Clear and engaging information also helps to promote competition and deliver products and services that consumers want. ... Examples of smarter communications include:. Communications using plain language, short format, bullet points and clear graphics. -
Beyond disclosure for high-risk investments: slow down and think
This article explores our research into risk warnings, decision points and self-certification, published in January 2021. -
FCA confirms new rules to improve oversight of Appointed Representatives
Our new rules to make authorised financial firms more responsible for their appointed representatives (ARs). -
Market Force and the Chartered Institute’s Nicholas Barbon Lectures
Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London -
FCA, TPR and MoneyHelper joint statement on Old British Steel Pension Scheme
Join statement on the FCA working with trustees of the BSPS scheme to monitor requests to transfer out and the firms who are advising members on their options.