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  1. GC15/1 Risks to customers from performance management at firms

    Guidance consultations Published: 16/03/2015 Last modified: 16/03/2015
    GC15/1 Risks to customers from performance management at firms. Guidance consultations First published:. 16/03/2015. Last updated: 16/03/2015. Share page. GC15/1 Risks to customers from performance management at firms. The focus of this proposed

  2. Wealth Managers and Financial Advisers and change of control requests 2017-2021 - March 2022

    FOI Release Date of Release: 08/03/2022
    The FCA provides data on Wealth Managers and Financial Advisers.

  3. FCA fines HSBC Bank plc £63.9 million for deficient transaction monitoring controls

    Press Releases Published: 17/12/2021 Last modified: 06/05/2022
    We have fined HSBC Bank plc (HSBC) £63,946,800 for failings in its anti-money laundering processes.

  4. Bellwethers of the economy: the need to engage with corporate treasurers to shape our markets

    Speeches Published: 21/05/2024 Last modified: 21/05/2024
    Speech by Nikhil Rathi, FCA chief executive, delivered at the Association of Corporate Treasurers Annual Conference 2024.

  5. Statement about broker-operated systems trading physically settled gas and power forwards

    Statements Published: 27/11/2013 Last modified: 27/11/2013
    Based on the discussions we have been having, we believe that it is appropriate to provide some further time for final implementation of the changes required by the proposals.This will ... Consequently, final implementation should take place no later

  6. PS17/12: Implementing information prompts in the annuity market

    Policy statements Published: 26/05/2017 Last modified: 11/07/2017
    This policy statement sets out our final rules which require firms to inform consumers how much they could gain from shopping around and switching provider, before they buy an annuity.

  7. Payment for order flow multi-firm review findings

    Multi-firm reviews Published: 23/04/2019 Last modified: 23/04/2019
    This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018.

  8. FCA urges victims to come forward after Court orders compensation for victims of illegal investment scheme

    Press Releases Published: 30/06/2021 Last modified: 30/06/2021
    For investors who bought shares in Pearl Island International LLC, Paragon Private Wealth LLC, Berkeley Brookes LLC or Atlantic Equity LLC

  9. Further details of Independent Investigation of Interest Rate Hedging Products announced

    Press Releases Published: 16/09/2019 Last modified: 16/09/2019
    John Swift QC has announced his full independent support team is now in place to conduct the investigation into the FSA’s (and subsequently the FCA’s) implementation and oversight of the Interest Rate Hedging Products (IRHP) Redress Scheme.

  10. CP14/13: Strengthening accountability in banking: a new regulatory framework for individuals

    Consultation papers Published: 30/07/2014 Last modified: 14/09/2015
    The PRA and FCA each plan to publish Policy Statement(s) containing their respective final rules around the end of the year.
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