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Temporary ban on net short positions by Austrian FMA
The Financial Conduct Authority (“FCA”) would like to draw the industry’s attention to the announcement by the Austrian Financial Market Authority (Austrian FMA) which restricts transactions under Article 20 of Regulation (EU) No 236/2012 of -
Review of debt management sector gets underway
We are undertaking a thematic review of the debt management sector, in line with the commitment in our 2017/18 Business Plan. -
First Supervisory Notice 2023: Alpha Financial Services [pdf]
For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on Alpha Financial Services with immediate effect. -
FCA publishes rules that will apply at the end of the transition period
We've published an updated version of the FCA Handbook to show the rules that will apply at the end of the transition period. -
Restrictions placed on Raedex Consortium Limited
On 19 February 2021, the FCA imposed a number of restrictions on motor finance provider Raedex Consortium Limited (Raedex) requiring the firm to cease conducting regulated activities because of concerns about its finances. -
Investment Funds, Markets Liquidity and the Investor
Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at The 9th Financial Risk International Forum in Paris on 21 March 2016. This is the text of the speech as drafted, which may differ from the delivered version. -
Speech: The economic challenge of regulating the mortgage market
Moreover, in these endeavours the FCA of course needs to proceed in accordance with its statutory objectives and duties and with the general requirements of Administrative Law. -
Update on FCA activities on pensions and retirement income
Find out about the FCA's ongoing work, designed to identify emerging trends, and an update on the Retirement Outcomes review. -
The FCA strengthens the listing rules to enhance protection for shareholders
The listing rules set out the requirements for companies listed in the UK and are the responsibility of the United Kingdom Listing Authority (UKLA), operating under the FCA. ... They set out objective requirements for admission to the Official List and -
First Supervisory Notice 2019: SVS Securities Plc [pdf]
This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm.