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  1. Barclays fined £38 million for putting £16.5 billion of client assets at risk

    Press Releases Published: 23/09/2014 Last modified: 30/08/2015
    risk. All firms should be clear after Lehman that there is no excuse for failing to safeguard client assets.'.

  2. FSA fines Prudential £30 million and censures CEO for failing to inform regulator of 2010 acquisition plans

    Press Releases Published: 27/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined companies in the Prudential Group (Prudential) a total of £30 million for breaching FSA Principles and UKLA Listing Principles. The fines relate to Prudential’s failure to inform the FSA at the

  3. PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc

    Press Releases Published: 26/08/2022 Last modified: 26/08/2022
    PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.

  4. Regulated financial advice firms and individuals that attempt to avoid their redress liabilities

    Tasks for regulated firms Published: 14/12/2018 Last modified: 13/02/2023
    The FCA provides information to regulated financial advice firms

  5. FCA publishes interim feedback following a call for input to the post-implementation review of the rules for crowdfunding

    Press Releases Published: 09/12/2016 Last modified: 09/12/2016
    The Financial Conduct Authority (FCA) has given an update on the post-implementation review of the loan-based and investment-based crowdfunding market. Our earlier call for input raised a number of issues for discussion; the feedback statement

  6. FCA fines LBGI £90 million for failures in communications for home insurance renewals between 2009 and 2017

    Press Releases Published: 08/07/2021 Last modified: 08/07/2021
    The FCA has fined LBGI (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) £90,688,400 for failing to ensure that language contained within

  7. Regulatory and consumer bodies welcome review of pension scheme communications provided to steel workers

    Statements Published: 22/01/2019 Last modified: 22/01/2019
    The Financial Conduct Authority (FCA), The Pensions Regulator (TPR) and The Single Financial Guidance Body (SFGB) today welcomed an independent review by Caroline Rookes into communications and support provided to British Steel Pension Scheme (BSPS)

  8. Rent-to-own, buy-now pay-later and pawnbroking agreements and coronavirus: draft temporary guidance for firms

    Guidance consultations Published: 17/04/2020 Last modified: 30/11/2020
    The FCA's guidance to regulated firms that enter into rent-to-own (RTO), buy-now pay-later (BNPL) (as defined in the FCA Handbook), or pawnbroking agreements and applies in the exceptional circumstances arising out of the coronavirus (Covid-19)

  9. Debt management firms still failing Britain’s most vulnerable consumers, says FCA

    Press Releases Published: 25/06/2015 Last modified: 25/06/2015
    All debt management firms are required to have clear and effective policies in place to identify and deal with vulnerable consumers. ... firms not making clear the type of service they provide and that free advice is available.

  10. Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds

    Multi-firm reviews Published: 16/11/2023 Last modified: 16/11/2023
    We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and