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Primary Market Bulletin 33
Welcome to the 33rd edition of the Primary Market Bulletin (PMB). -
Recruit, change or terminate an appointed representative
If you're a principal firm, find out how to recruit, change or terminate appointed representatives (AR) and complete related Approved Persons applications. -
FCA finds failings in the oversight of appointed representatives in the general insurance sector
FCA finds failings in the oversight of appointed representatives in the general insurance sector. ... considering the need for customer redress and whether further regulatory action in relation to the issues identified is required. -
The institutionalisation of customer service
Speech by Martin Wheatley - Managing Director, Conduct Business Unit at the Chartered Institute for Securities & Investment -
Business Plan 2023/24
The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy. -
Tribunal upholds FCA fine on firm for misselling complex investments
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to fine Scottish firm Westwood Independent Financial Planners (Westwood) £100,000 for communications and suitability failings in ... The Tribunal agreed with -
Pawnbroking sector review
As part of our Mission, we recently published details of Our Approach to Supervision. In this, we outlined how we supervise firms as part of a portfolio of firms that share a common business model. Pawnbroking forms part of the high-cost credit -
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. -
FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives
FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives. ... Charles Palmer, the Group’s CEO, was the subject of a previous Final Notice in 2010, relating to earlier failings at Financial and Investments. -
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.