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CP15/6: Consumer credit - proposed changes to our rules and guidance
This paper outlines our proposed policy changes to our consumer credit regime. -
SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update
In April 2020, we set out our expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the SM&CR -
CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I
CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I. Consultation papers First published:. 15/12/2015. Last updated: 22/08/2019. Share page. CP15/43: Markets in Financial Instruments Directive II -
Anti-fraud controls and complaint handling in firms (with a focus on APP Fraud)
This publication sets out the key findings from our review of how firms mitigate the risks of APP fraud and fraud attacks more broadly. -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
Financial Conduct Authority consults on restrictions on the retail distribution of regulatory capital instruments
The Financial Conduct Authority (FCA) is proposing to place new requirements that would apply when mutual society shares are sold to ordinary retail investors. ... assets. These requirements apply only to sales to retail investors who have not been -
FCA calls on firms to act following review of costs and charges disclosure in the investment sector
The Financial Conduct Authority (FCA) has today published the key findings of supervisory work to assess the effectiveness of disclosure by asset managers and intermediaries, such as wealth managers, to their retail customers. This work was prompted -
FCA sets out proposals to tackle concerns about general insurance pricing
The final report of our market study into the pricing of home and motor insurance. We are concerned these markets are not working well for consumers and set out proposed remedies to address this. -
FCA asks for proposals on how open finance could transform financial services
The Bank of England, PRA and FCA have published coordinated consultation papers on new requirements to strengthen operational resilience in financial services. -
CP14/5: Changes to regulatory reporting: Adviser and consultancy charging, Authorised Professional Firms (APFs) and Product Sales Data (PSD)
Authorised Professional Firms subject to the reporting requirement in SUP 16 Annex 9R. ... Any firms who are or will be subject to the Product Sales Data requirements in SUP 16.11.