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PS15/16: Strengthening the Alignment of Risk and Reward: New Remuneration Rules
The FCA and PRA have released new rules for remuneration of banking staff, following recommendations made by the Parliamentary Commission on Banking Standards (‘PCBS’). The rules seek to strengthen the alignment between risk and reward by -
Information on any incomplete or non-disclosure of value statements - July 2021
The FCA provide information on sanctions against incomplete or non-disclosure of value statements by wealth and asset management firms, -
The Bank of England, PRA and FCA set out potential measures to oversee critical third parties in a move to increase resilience of the financial sector
The Bank of England, the Prudential Regulation Authority and FCA set out potential measures to oversee and strengthen the resilience of services provided by critical third parties to the UK financial sector. -
Financial services regulation and enforcement: recent developments and emerging issues
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud
The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in -
Consumer credit and coronavirus: additional guidance for firms (November 2020)
This guidance applies in the exceptional circumstances arising out of the coronavirus pandemic (Covid-19) and its impact on the financial situation of consumer credit customers. -
FCA launches 'Live & Local': a new regional programme to help local firms engage with regulators
The programme will help firms in the investment, mortgages and general insurance sectors engage with their regulators and bring them greater clarity on their regulatory requirements. -
PS14/13: Changes to regulatory reporting: Adviser charging and product sales data (PSD), including feedback to CP14/5 and final rules
This policy statement summarises the feedback we received on the proposed changes to Section K of the RMAR and PSD reporting requirements. ... The change to our PSD will be of interest to any firm which is, or will be, subject to the PSD requirements in -
GC14/3 Retail Investment Advice: Clarifying the boundaries and exploring the barriers to market development
We are publishing guidance to help clarify the different types of retail investment sales models, the boundaries between them and the associated regulatory requirements. -
FCA finds small firms need to manage financial crime risks more effectively
The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.