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FCA issues Final Notice to former CEO for anti-money laundering failings
We have publicly censured Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK) for anti-money laundering (AML) failings. -
FS19/7: Building a regulatory framework for effective stewardship
In January 2019, jointly with the Financial Reporting Council (FRC), we published a Discussion Paper, Building a Regulatory Framework for Stewardship (DP 19/1). This Feedback Statement (FS) responds to the views we received, within the scope of our -
1 month to go: FCA reminds firms to be ready for end of transition period
The FCA has reminded firms to be ready for the end of the transition period in 1 month’s time. -
Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector
Under the Presumption of Responsibility, when a relevant/authorised firm contravenes a relevant requirement then the Senior Manager with responsibility for the management of any of the firm’s activities in -
CP21/7 A new UK prudential regime for MiFID investment firms
We are consulting on our second phase of proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR). IFPR is a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID). -
PS23/1: Extended asset retention requirement for firms under the British Steel Pension Scheme consumer redress scheme
Final rules to extend asset retention rules for certain firms who provided transfer advice to BSPS members. We also summarise feedback to CP22/22. -
Redress package agreed for consumers mis-sold CPP insurance products
The Financial Conduct Authority has reached an agreement with Card Protection Plan Limited (CPP) and 13 high street banks and credit card issuers that will pave the way for redress to be paid to customers who were mis-sold CPP’s Card Protection -
FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
Dear CEO letter - FCA expectations of firms that administer debt management plans [pdf]
We are concerned that some firms in this sector are not meeting our rules in carrying out appropriate annual reviews, and we want to remind them of our requirements when administering debt management plans (DMPs). -
FS19/3: Recognition of codes: feedback on QCP 23 18/39
We summarise responses received to QCP 18/39 on the recognition of industry codes of conduct and outline our next steps.