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Occasional paper No.40: Time to act: A field experiment on overdraft alerts
As part of the high-cost credit review, the FCA wanted to understand the impact of automatically enrolling customers into just-in-time arranged overdraft alerts and early warning alerts for overdrafts and unpaid items. -
PS18/3: Perimeter guidance on personal recommendations on retail investments
This Policy Statement sets out our response to feedback on new perimeter guidance on what constitutes a personal recommendation, which we published in consultation CP17/28: FAMR Implementation Part II and insistent clients (PDF). -
Joint FCA and PRA statement on SM&CR and coronavirus: our expectations of dual-regulated firms - December 2020 update
In April 2020, we set out our expectations to help dual-regulated firms apply the SM&CR following the exceptional circumstances that arose from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the -
CP13/7: Changes to the Listing Rules resulting from new regulations being implemented by BIS
In response to this, we have revisited our existing Listing Rule requirements to assess whether it would be appropriate for us to make any changes to current Chapter 9 requirements and ... ensure the Listing Regime does not impose unnecessary -
Coronavirus and 10% depreciation notifications: further temporary measures for firms
This statement is for firms providing portfolio management services or holding retail client accounts that include positions in leveraged financial instruments or contingent liability transactions. -
How can we ensure that Big Data does not make us prisoners of technology?
Speech by Charles Randell, Chair, Financial Conduct Authority and Payment Systems Regulator, delivered at Reuters Newsmaker event, London. -
Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR
The brokers’ misconduct was exacerbated by a poor compliance culture within Martins which was a result of its heavy focus on revenue at the expense of regulatory requirements. -
Improper delegation of authorised activities - a notice for financial adviser firms and their advisers
Firms that are approached to delegate their regulated activities, such as providing pension switching advice, to an unauthorised third party need to be aware of the serious implications that may arise as a result of entering into this type of -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
We are alerting firms to our requirements when they give advice on self-invested personal pensions (SIPPS), giving our view and key messages. ... our requirements, acting at all times honestly, professionally and in accordance with the best interests of -
FCA updates on its work on financial advice given to members of the British Steel Pension Scheme (BSPS)
The FCA is aware of concerns about the financial advice received by members of the British Steel Pension Scheme (BSPS). The BSPS is being restructured and this has prompted many members to consider if they should transfer out of a Defined Benefit (DB