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HMRC communication to London Capital & Finance Plc bondholders [pdf]
HMRC contacted bondholders to inform them that they had decided that the Innovative Finance ISAs offered to investors by LCF did not comply with the requirements of the ISA regulations. -
FCA establishes industry-led working group for financial advisers
The FCA has appointed Daniel Godfrey as chair and Julia Dreblow as vice-chair of a new working group focused on building capability in sustainable finance across the financial advice sector. The Personal Investment Management & Financial Advice -
Investor relations in an increasingly regulated and international world
Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013. -
Regulating financial innovation – going behind the scenes
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Cambridge Centre for Alternative Finance annual conference, Judge Business School. -
A more effective approach to combatting financial crime
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference. -
FCA launches campaign to encourage individuals to report wrongdoing
The campaign, 'In confidence, with confidence', encourages individuals working in financial services to report potential wrongdoing to the FCA. -
MS23/1: Wholesale data market study: benchmarks, credit ratings data and market data vendors
We have launched the wholesale data market study with the publication of our terms of reference and Market Study notice. -
FCA reforms decision-making to tackle consumer harm
The FCA has reformed its decision-making process to ensure it can make faster and more effective decisions for consumers, markets and firms. -
Personal investment firms that give bad advice to hold capital for redress
Our proposals to require personal investment firms to set aside capital so that they can cover compensation costs. -
Impact assessment: UKLA Technical Note: UKLA/TN/308.3 – Related party transactions – Modified requirements for smaller related party transactions [pdf]
This impact assessment relates to UKLA Technical Note: UKLA/TN/308.3 – Related party transactions – Modified requirements for smaller related party transactions. It has been verified by the Regulatory Policy Committee.