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FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators
members’ own requirements. -
PS15/1: Early implementation of the Transparency Directive’s requirements for reports on payments to governments, including feedback on CP14/17 and final rules
This Policy Statement reports on the main issues arising from Consultation Paper CP14/17 and publishes final rules. -
FCA clarifies fairer treatment of regular premium PPI complaints and proposes new mailing requirements
The FCA has today issued final guidance that clarifies its expectations about the handling of certain regular premium payment protection insurance (PPI) complaints. -
Consumer warning on Flipping Cars Ltd and My Car Broker Ltd
News story on Flipping Cars Ltd and My Car Broker Ltd agreeing with the FCA that it will no longer take any payments in advance from customers for its services to help customers source and purchase vehicles. -
Authorised fund managers’ assessments of fund value 2023
Feedback following the second MFR of Authorised Fund Managers compliance with our Assessment of Value rules. -
PS14/9: Review of the client assets regime for investment business
In our consultation paper CP13/5: Review of the client assets regime for investment business we proposed changes to the rules in CASS to address specific risks, to clarify the requirements -
RBS fined £87.5 million for significant failings in relation to LIBOR
The Financial Services Authority (FSA) has fined The Royal Bank of Scotland plc (RBS) £87.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR). -
Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum -
PS23/18: Smarter Regulatory Framework: The Insurance Distribution Directive
The FCA's final rules for insurance firms that transfer and replace retained EU law provisions from the Insurance Distribution Directive. -
FCA and OSC sign Co-operation Agreement to support innovative businesses
Under a new Co-operation Agreement (Agreement), innovative FinTech businesses in Ontario and the United Kingdom will be able to seek support from their financial regulators as they seek to operate in the other’s market.