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FS23/3: Government-regulator response to ‘Value for Money: A framework on metrics, standards and disclosures'
FCA, DWP and TPR's joint response to feedback received and next steps. -
TR22/1: Observations on wind-down planning: liquidity, triggers & intragroup dependencies
This review reiterates our expectation that firms have adequate financial and non-financial resources to wind-down in an orderly manner, and sets out our observations of how they are doing this. -
RMA-F Threshold conditions: help text
RMA-F Threshold conditions: help text -
Our approach to overseas market operators seeking to apply to become a recognised overseas investment exchange (ROIE)
We have published a revised direction. This replaces the temporary direction put in place in September 2018 -
FCA confirms new rules for certain open-ended funds investing in inherently illiquid assets
The Financial Conduct Authority (FCA) has today confirmed new rules which apply to certain types of open-ended fund investing in inherently illiquid assets such as property. The new rules apply to these funds, known as non-UCITS retail schemes (NURSs -
FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules
This failing meant that the Firms were unable to meet their other obligations under the Custody Rules, such as the requirements to:. ... submit accurate Client Money and Asset Returns (CMAR) (from October 2011 when the requirement to do so came into force -
CP23/2: Streamlining our rules on structured digital reporting of financial statements
The FCA consulted on changes to streamline transparency rules for certain companies with securities admitted to UK regulated markets to prepare their annual financial report in a specific web browser format (XHTML), and to present the financial -
Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money
The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in -
What firms and customers can expect from the consumer duty and other regulatory reforms
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at City and Financial Global. -
PS18/9: Recovering the costs of the Office for Professional Body Anti-Money Laundering Supervision (OPBAS)
In this paper we set out our final requirements and guidance on recovering the costs of OPBAS through fees.