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Ensuring the fair treatment of customers in vulnerable circumstances
The positive steps firms have taken to embed FCA guidance and the areas where we expect to see improvement. -
Loan-based crowdfunding platforms: summary of our rules
The following rules may be relevant for firms operating in the loan-based crowdfunding (including peer-to-peer and peer-to-business) market when considering their investment activities. -
FCA publishes outcome of high-cost credit review
The Financial Conduct Authority (FCA) has announced new proposals designed to protect millions of people who use overdrafts and high-cost credit. -
FCA takes action against debt packager firms
5 firms have stopped providing regulated debt advice until further notice and the FCA has used formal powers to stop another firm from providing regulated advice -
TR14/1 – Transition Management Review
Regulatory obligations are clear – our existing rules and guidance (particularly SYSC 10 and COBS 2 and 11) set a high standard and no changes are necessary. ... to review and ensure communications with customers are clear, fair and not misleading, and. -
Applying to approve financial promotions for unauthorised persons
Find out how to apply to the FCA for permission to approve the financial promotions of unauthorised persons. -
Senior Managers and Certification Regime: one year on
The FCA marks one year since we introduced of the Senior Managers and Certification Regime. -
Retail Banking: Business Continuity Planning
We have recently reviewed business continuity planning (BCP) amongst a number of small and medium-sized retail banks, payments institutions and electronic money institutions. -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
FCA and DWP publish call for evidence on transaction costs
Trustees and IGCs of workplace pension schemes need to have clear and transparent information as part of assessing value for money offered by pension schemes. ... in a clear and transparent way.