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FCA issues 146 alerts in first 24 hours of new crypto marketing regime
Changes to legislation that bring cryptoasset promotions under our remit are now in force. -
Senior Managers and Certification Regime: supervisory review
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
The Financial Conduct Authority publishes its findings on transition management
Over £165 billion of assets invested in pensions and other large funds are transferred between investment managers, markets and products every year – potentially affecting the returns enjoyed by millions of consumers on their investments – by -
Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser
This protocol requires us to make clear that the matter has been referred to the Tribunal so that the subjects can present their case and the Tribunal can determine the appropriate ... action, and to make it clear that our findings reflect our belief as -
Tribunal upholds FSA decision to fine firm £8m for market abuse
The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as -
Mortgages and coronavirus: updated draft guidance for firms
FCA proposes updated draft guidance for firms on mortgages, debt advice and coronavirus -
Levelling the playing field – innovation in the service of consumers and the market
Speech by our CEO, Nikhil Rathi, to FinTech Week. -
FG24/1: Finalised guidance on financial promotions on social media
We clarify our expectations on how financial promotions are communicated on social media. We also summarise and respond to feedback to GC23/2. -
Occasional Paper 62: Matter of fact-sheets: improving consumer comprehension of financial sustainability disclosures
Clear communication via investor factsheets helps people understand investments based on their sustainability characteristics and may help them choose investments that better meet their needs. -
The new simplified advice regime and the advice / guidance boundary review
Speech by Therese Chambers, our Director of Consumer Investments, delivered at the TISA Financial Advice and Guidance Conference.