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A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the IA Culture in Investment Management Forum -
FSA confirms approach to using temporary product intervention rules that will be used by the FCA
The Financial Services Authority (FSA) has confirmed its approach to temporary product intervention. This sets out the process for the Financial Conduct Authority (FCA) when it makes emergency rules to protect consumers. -
FCA fines Prudential £23,875,000 for failures relating to non-advised annuities sales
The Financial Conduct Authority (FCA) has fined The Prudential Assurance Company Limited (Prudential) £23,875,000 for failures related to non-advised sales of annuities. -
FCA reminds asset managers of importance of meeting investors’ expectations
Funds that were clear with investors provided a thorough explanation of their investment strategy, as well as specific information about the aims and asset allocation of the fund. ... However, some funds were not providing a clear enough explanation of -
FCA publishes the Swift Review into the supervisory intervention on interest rate hedging products
The FCA has accepted recommendations made by John Swift QC, who was commissioned to review the design, implementation and operation of the redress scheme set up for customers who were missold interest rate hedging products (IRHPs) from 2001. -
Reforms will make financial advice and guidance work better for consumers
a clear need for intervention by the regulator and the government to help both consumers and industry benefit from new and more cost-effective ways of delivering high quality advice and -
Financial services regulation and enforcement: recent developments and emerging issues
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Understanding approaches to D&I in financial services
The FCA observed how financial services firms are designing and embedding diversity and inclusion strategies. The observations give an overview of initiatives to improve diversity and inclusion, which industry leaders can consider in reviewing their -
Supervisory flexibility on RTS 27 reports and 10% depreciation notifications
We are putting in place temporary measures with respect to RTS 27 reports and 10% depreciation notifications while we consult on changes to these requirements later this Spring. -
Primary Market Bulletin Issue No. 28 coronavirus (Covid-19) update
In this special edition, we publish a statement on temporary relief for the timing of the publication of half yearly financial reports.