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Information on Consumer Network and roundtable events - November 2021
The FCA responds to multiple questions on the FCA's Consumer Network. -
FCA announces plans for stronger nudge towards pension guidance
The FCA has today published final rules requiring firms to implement the stronger nudge to Pension Wise guidance. -
Initial advice charges for lump sum investments
Read more about the payment of initial advice charges for advice on lump sum investments to retail clients. -
Information for customers of The Mortgage Matters Partnership (TMMP)
Some of TMMP’s customers were given mortgage advice which may have been unsuitable and a customer contact and redress programme was started. The firm has been declared in default by the Financial Services Compensation Scheme (FSCS) and as a result -
Occasional Paper No. 13: Economics for Effective Regulation
Relative to its predecessor, the FCA needs to meet higher standards for assessing the effects of its interventions to comply with its new competition obligations and legal requirements for the cost -
CP17/14: Quarterly Consultation Paper No. 17
the Supervision manual (SUP) to clarify the application of the requirement to have a client assets report to loan-based crowdfunding platforms, and. ... the Supervision manual (SUP) regulatory reporting requirements. What you need to do. -
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation
The FCA has also set out its annual funding requirement (AFR) for 2014/15 required to meet the plans laid out in the Business Plan. ... Martin Wheatley said: ‘We have also announced our Annual Funding Requirement today. -
Mortgage sales data by borrower income information – October 2021
FCA provides mortgage sales data by borrower income information. -
Fund managers falling short on assessing the value of their funds
Our review of fund managers found most had not implemented AoVs arrangements that met FCA standards. -
CP18/24: Quarterly Consultation Paper No 22
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals.