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  1. Statistics on Investigations relating to breaches of the Money laundering regulations - August 2020

    FOI Release Date of Release: 14/08/2020
    FCA provides information on investigations relating to breaches of Money Laundering regulations.

  2. The FCA publishes latest review of sales incentives at retail financial services firms

    Press Releases Published: 04/03/2014 Last modified: 17/11/2021
    All the major retail banks have either replaced or made substantial changes to financial incentive schemes, which played such a major role in the mis-selling scandals of recent years, the Financial Conduct Authority (FCA) revealed today.

  3. Fair, transparent and competitive: the FCA’s vision for the asset management sector

    Speeches Published: 30/10/2013 Last modified: 30/10/2013
    Speech by Clive Adamson, FCA Director of Supervision, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  4. FCA fines GAM International Management and former Investment Director Timothy Haywood

    Press Releases Published: 30/03/2022 Last modified: 30/03/2022
    The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML.

  5. CP19/30: Regulatory fees and levies: policy proposals for 2020/21

    Consultation papers Published: 13/11/2019 Last modified: 13/11/2019
    This FCA consultation paper sets out FCA's proposed policy changes to the way it will raise FCA fees from 2020/21. It is part of the FCA's annual cycle of consultation on fees.

  6. FCA, TPR and MaPS joint statement on Rolls-Royce defined-benefit pensions scheme

    Statements Published: 28/10/2020 Last modified: 28/10/2020
    We have issued a data request to a number of advisers who have advised on transfers from the Rolls-Royce defined benefit (DB) pension scheme.

  7. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

    Press Releases Published: 03/10/2013 Last modified: 07/02/2022
    he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

  8. FS16/2: Feedback Statement on Call for Input: Regulatory barriers to innovation in digital and mobile solutions

    Feedback statements Published: 09/03/2016 Last modified: 09/03/2016
    issues. It was clear from the responses to the Call for Input that, while many innovative digital and mobile solutions already exist with stakeholders eager to use them and provide them

  9. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

  10. Amendments to the IFPR Instrument 2021 since publishing the near-final version

    Firms Focus areas Published: 12/11/2021 Last modified: 13/02/2023
    We set out amendments to the original text of the near-final Investment Firms Prudential Regime (IFPR) Instrument, which was originally published in PS21/9.