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CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime
We’re calling this process ‘conversion’, and our aim is to make it simple, clear and proportionate. -
Statement on the Financial Conduct Authority’s review of Royal Bank of Scotland’s treatment of customers referred to its Global Restructuring Group
This statement provides an update on the Financial Conduct Authority’s (FCA) review of Royal Bank of Scotland’s (RBS) treatment of small and medium enterprise (SME) customers in financial difficulty. -
FCA review finds evidence of life insurance and advisory firms ‘undermining the objectives of the RDR’ and consults on new guidance
The Financial Conduct Authority (FCA) has published a review to find out whether firms continue to be influenced by inducements from product providers, despite the Retail Distribution Review (RDR) coming into effect in January 2013 -
FCA fines Towergate and former director Timothy Philip for client and insurer money failings
Senior management are ultimately responsible for ensuring that firms are following our rules and it is very clear that Mr Philip failed in that regard, falling well below the standards we -
Coronavirus and customers in financial difficulty: draft additional guidance for insurance and premium finance firms
The FCA has announced proposals to help customers who hold insurance and premium finance products and who continue to face financial difficulties because of coronavirus (Covid-19). -
Implementing MiFID II – multi-firm review of research unbundling reforms
Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how -
The Financial Conduct Authority publishes review into delivering ‘independent’ financial advice following the implementation of the Retail Distribution Review
The Retail Distribution Review (RDR) came into force in 2013 to improve outcomes for consumers by enhancing standards of professionalism, removing key biases, and ensuring the cost of advice is clear. -
FCA review of medium-sized firms’ PPI complaints handling finds significant room for improvement
In our review, we found that some firms are doing this while it is clear others still have some way to go. -
Gaming trading: how trading apps could be engaging consumers for the worse
You may be familiar with the jumping green owl celebrating your completion of a Duolingo language lesson. Or perhaps you compete against your friends on Strava to run the most miles in a month. These are all examples of gamification – the use of -
General insurance product value and coronavirus (Covid-19) Guidance – update
We set out the findings from our multi-firm review assessing how firms have responded to our general insurance (GI) distribution chain Guidance (further to the product governance rules implemented by the IDD) and coronavirus (Covid-19) value Guidance