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FG20/1: Assessing adequate financial resources
We are publishing final guidance on a framework to help financial services firms ensure they have adequate financial resources and to take effective steps to minimise harm. -
FCA fines Merrill Lynch £34.5 million for failing to report transactions
Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016. -
PS23/17: Remuneration: enhancing proportionality for small firms
Our final policy on changes to the remuneration rules for dual-regulated firms to enhance the proportionality of the remuneration requirements that apply to small firms. -
TR14/1 – Transition Management Review
to work with customers to ensure communication requirements are understood. We will follow up with individual firms to ensure ongoing compliance with regulatory obligations. -
First Supervisory Notice 2021: Frensham Wealth Limited [pdf]
For the reasons given in this First Supervisory Notice (Frensham Wealth Limited), and pursuant to section 55J of the Act, the Authority has decided to vary the Part 4A permission of Frensham Wealth Limited. The Authority has further decided to -
Call for Input: Supporting the development and adoption of RegTech
We are seeking views on how we can support the development and adoption of new technologies that facilitate the delivery of regulatory requirements – so-called ‘RegTech’. ... Following the financial crisis, we recognise that firms have to deal with -
Xpress Money Services Limited enters special administration
On 11 February 2022, a special administration order was made by the Court in relation to Xpress Money Services Limited (“Xpress”) under the Payment and Electronic Money Institution Insolvency Regulations 2021. David Hudson and Philip Reynolds of -
FCA proposes changes to encourage better customer communications
The Financial Conduct Authority (FCA) has announced plans to remove a number of ineffective communication requirements from its Handbook. ... Consultation Paper 15/32: Smarter Consumer Communications: Removing ineffective disclosure requirements in our -
Whistleblowing in UK branches of foreign banks: PS17/7
This Policy Statement introduces our final rules on whistleblowing requirements for UK branches of foreign banks. It does not apply to UK branches of overseas insurers. -
Statement of Policy on the exercise of the FCA’s powers under Article 23D BMR [pdf]
We set out our final Statement of Policy in respect of Article 23D, which grants us the ability to impose requirements on the administrator of a critical benchmark designated under Article 23A.