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FCA consults on how firms and individuals will transition to the Senior Managers and Certification Regime
The Financial Conduct Authority (FCA) has today published a package of proposals on how firms and individuals will move to the Senior Managers and Certification Regime. The aim of the new regime is to make individuals more accountable for their -
Insurance brokers: serving consumers and businesses in times of uncertainty and change
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the British Insurance Brokers' Association (BIBA) Conference. -
FCA joins other regulators to call on firms to help struggling customers
The FCA will report on how well the cash savings market is supporting savers to benefit from higher interest rates. We will require the largest banks and building societies to explain the pace and extent of their pass through of interest rates, the -
Research Note: Digital engagement practices: a trading apps experiment
We investigated the effect of digital engagement practices, including gamification, on consumer trading behaviour. -
Sustainability disclosure and labelling regime
Information for firms and trade associations on sustainability disclosure requirements and the anti-greenwashing rule. -
Continuing Professional Development (CPD) and professional qualification exams during coronavirus
During the current pandemic, we expect firms to continue to demonstrate that relevant individuals remain competent to carry out their work. -
FCA publishes first consultation on new prudential regime for UK investment firms
The FCA is seeking views on its proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR) for FCA prudentially-regulated investment firms -
Authorised fund managers’ assessments of fund value 2023
Feedback following the second MFR of Authorised Fund Managers compliance with our Assessment of Value rules. -
Latest FCA perimeter report calls for legislative change to protect consumers
In the 2020/21 Perimeter Report, the FCA has called for legislative change to address concerns beyond its remit. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR).