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Primary Market Bulletin 40
In this edition we provide feedback on our consultation in PMB 34 and highlight changes to the Knowledge Base on the prospectus regime as a result of the consultation. -
Wholesale banks and asset management cyber multi-firm review findings
In late 2017 and early 2018 we carried out a cyber multi-firm review with a sample of 20 firms in the asset management and wholesale banking sectors. The firms we selected varied in terms of their size, scale, operating models and geography. These -
Financial promotions quarterly data 2022 Q1
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for January 2022 to 31 March 2022. -
Assessing the value of financial advice
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London. -
Business Plan 2022/23
The FCA Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy. -
Trust and ethics – a regulator’s perspective
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the launch of the St Mary’s University School of Business and Society, London. -
Cost of Living: good and poor practice in the general insurance market
We have reviewed how home and motor insurers are supporting customers in financial difficulty and handling claims. We found examples of good practice, but also areas where firms need to improve. -
Surveillance: The FCA's expectations and toolkits
Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Model driven machine executable regulatory reporting TechSprint
Held alongside the Bank of England and facilitated by Grant Thornton, the event explored the potential for model driven, machine readable and executable regulation. -
CP15/28: Quarterly Consultation Paper No. 10
make changes to our DISP rules to make complaints reporting requirements more consistent and clear. ... Since publishing our consultation, the MiFID II Delegated Regulation has been published and it now makes specific reference to the identification of