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  1. Advice firms demonstrate some good practice on due diligence but greater consistency needed

    Press Releases Published: 19/02/2016 Last modified: 19/02/2016
    In the review, it was clear that firms of all sizes and type were able to do this if they had the right approach and were putting the interests of their

  2. FCA to investigate competition in investment and corporate banking services following review of wholesale markets

    Press Releases Published: 19/02/2015 Last modified: 19/02/2015
    What was clear from the discussions we had with stakeholders and firms was that there are unanswered questions about potential conflicts of interest and value for money in this market.

  3. The Financial Conduct Authority warns clients of three debt management firms to review their debts

    Press Releases Published: 21/05/2015 Last modified: 08/11/2016
    The debt management firms are Sterling Financial Security Limited (Sterling), Haydon Associates Debt Management Consultants Limited (Haydon) and Clear View Finance Limited (Clear View). ... The supervisory notices forand Clear View Finance Limited.

  4. FSA publishes guidance to help firms avoid poorly managed incentive schemes that drive mis-selling

    Press Releases Published: 16/01/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has published final guidance that will help financial firms avoid creating and operating incentives schemes that drive mis-selling.

  5. FCA and PRA jointly publish proposals to enhance enforcement decision-making processes

    Press Releases Published: 14/04/2016 Last modified: 04/11/2019
    The FCA and the PRA have today published proposals aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes.

  6. The FCA’s approach to supervising wealth management and private banking firms

    Speeches Published: 02/07/2013 Last modified: 18/07/2013
    Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Financial Lives January 2023: Consumer experience of the rising cost of living – the burden of bills and ways to get support

    Financial Lives Published: 17/05/2023 Last modified: 26/07/2023
    The FCA are providing selected statistics in this research note from its Financial Lives cost of living (Jan 2023) recontact survey, to give an insight into the financial situation UK adults experienced over the 6 months to January 2023.

  8. Claims handling lessons learned from business interruption insurance

    Multi-firm reviews Published: 04/10/2022 Last modified: 04/10/2022
    The FCA sets out the findings from its review assessing how firms handled Business Interruption (BI) insurance claims following the Supreme Court’s judgment on the BI test case, including examples of good practices and areas where firms have

  9. Regulating the pensions and retirement income sector: our strategic approach

    Corporate documents Published: 19/03/2018 Last modified: 18/10/2018
    We work with The Pensions Regulator (TPR) to address risks and harms in the pensions and retirement income sector and help ensure the best possible outcomes for consumers.

  10. Martin Wheatley calls for greater transparency in the asset management sector at the 2013 FCA Asset Management Conference

    Press Releases Published: 30/10/2013 Last modified: 30/10/2013
    Our clear objective is to ensure we deliver the greatest possible value for money, transparency and accountability to our customers and we will explore all possible avenues to make sure we