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Consumer Investments data review April 2022 – March 2023
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2022 and 31 March 2023. -
First Supervisory Notice 2022: Vector Wealth Limited [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. -
PS21/9: Implementation of Investment Firms Prudential Regime
This is the second of the Policy Statements we will issue to introduce the Investment Firm Prudential Regime. -
Information on dawn raids conducted by the FCA -October 2022
FCA provides information on dawn raids conducted by the FCA. -
Second Supervisory Notice 2021: DAC Pensions Limited [pdf]
The FCA has decided to vary the requirements imposed on DAC Pensions Limited and notified to it in the First Supervisory Notice -
Updates to the FCA’s directions under the Temporary Transitional Power
Today, the Financial Conduct Authority (FCA) has updated and published draft directions under its Temporary Transitional Power (TTP). The TTP gives the FCA flexibility in applying post-Brexit requirements, allowing firms to transition to a new UK -
Blockchain: considering the risks to consumers and competition
Speech by Mary Starks, Director of Competition, FCA, at Authority for Consumers & Markets Conference Panel, Netherlands. -
Reports on payments to governments (DTR 4.3A)
Some issuers need to prepare a DTR 4.3A report on payments to governments. -
Financial services exemptions in forthcoming Corporate Insolvency and Governance Bill
These measures are expected to be included in the Corporate Insolvency and Governance Bill (Bill). -
Statement on how firms should handle post and paper documents
We recognise that during the coronavirus (covid-19) pandemic there will be some important functions, such as processing post, that will be more difficult for firms to do in a timely way.