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Investigation opening criteria
Factors we consider when deciding to open an investigation, including how we assess serious misconduct. -
List of pension scheme arrangements exempted from the clearing obligation [pdf]
The European Market Infrastructure Regulation (EMIR) provides for the obligation of counterparties to clear OTC derivative contracts that have been declared subject to the clearing obligation. Some pension scheme arrangements may benefit from a -
FCA urges public to report and speak out against fraudulent investment schemes
More than a fifth (22%) of those contacted by a suspected fraudulent investment firm stay silent Brits are more likely to report fly-tipping (81%) than investment scams (63%) Londoners report the most investment scams to the FCA followed by -
Partly contested cases, the pipeline and AML investigations
FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime. -
Building our societies through lending and savings
Speech by Emily Shepperd, FCA Chief Operating Officer at the Building Societies Annual Conference -
Liquidity management for investment firms: good practice
The FCA has been working with the Bank of England, at the request of the Financial Policy Committee (FPC), to assess risks posed by open-ended investment funds investing in the fixed income sector. As part of this work we have engaged with a number -
FCA starts debate on fairness of changes to mortgage contracts
It isn't always clear though to consumers how lenders and the FCA assess fairness in this area. -
Personal loans and coronavirus: draft guidance for firms
The FCA's guidance for firms on personal loans during the coronavirus situation -
FCA’s national and international response to coronavirus (Covid-19) and Brexit
Speech delivered by Nausicaa Delfas, Executive Director of International, at Deloitte Annual Conduct Risk Conference (webinar). -
FCA to strengthen financial promotions rules to protect consumers
FCA is acting to address concerns about the ease and speed with which people can make high-risk investments