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Approved Persons Regime (APR) and coronavirus: our expectations - December 2020 update
In June 2020, we set out our expectations to help firms using Appointed Representative (AR) arrangements apply the Approved Persons Regime (APR) during coronavirus (Covid-19). We offered some additional flexibility in the application of rules to -
Best practice note - Identifying, controlling and disclosing inside information
This note is for government departments, industry regulators and public bodies to help them in complying with the relevant obligations under MAR. -
Bank of England, FCA, PRA and PSR conduct 2023 review of Memorandum of Understanding for payment systems in the UK
The Bank of England, the Financial Conduct Authority, the Prudential Regulation Authority and the Payment Systems Regulator have a joint-authority Memorandum of Understanding (MoU). -
FCA Statement on fair treatment of long-standing customers in the life insurance sector
No conclusion has been reached as to whether there have been any breaches of regulatory requirements. ... This investigation into wider contraventions of regulatory requirements will also focus on behaviour from December 2008. -
First Supervisory Notice 2019: Organic Investment Management Limited [pdf]
This first supervisory notice (Organic Investment Management Limited) refers to a failure to satisfy the appropriate resources threshold condition (COND) and breaches of SYSC. We imposed requirements on the firm. -
Co-operative and Community Benefit Societies Act 2014
Read more about which societies are governed by the Co-operative and Community Benefit Societies Act 2014 (CCBS Act). -
FS20/1: Recognition of codes: feedback on QCP 25 CP19/27
We summarise responses to QCP 19/27 on the recognition of the Lending Standards Board’s (LSB) Standards of Lending Practice for business customers. We also outline our next steps. -
Letter to Lord Myners: Undertakings for Collective Investment in Transferable Securities [pdf]
Letter to Lord Myners regarding a review of the case for the UK establishing its own requirements for liquidity standards for Undertakings for Collective Investment in Transferable Securities. -
Authorised fund managers’ assessments of their funds’ value
This review sets out our findings from our review, where we looked at the processes used by different Authorised Fund Managers (AFMs) when they carry out assessments of value (AoVs or 'Value Assessments') for the funds they operate. -
FCA bans partners of firm that failed to consider customer SIPP suitability
that the business for which he is responsible in his accountable function complies with regulatory requirements.