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First Supervisory Notice 2023: Nexus Independent Financial Advisers Limited & Nexus Investment Managers Limited [pdf]
For the reasons given in this First Supervisory Notice the FCA has decided to impose requirements (“the on Nexus Independent Financial Advisers Limited (“Nexus IFA”) and Nexus Investment Managers Limited (“Nexus IM”) with immediate effect. -
Update for customers of insurance broker firm Professional Construction Risks Ltd (PCRL)
We outline important consumer information for those who have purchased an insurance policy from PCRL. -
PS18/22: Authorised push payment fraud – extending the jurisdiction of the Financial Ombudsman Service
In this policy statement, we summarise and respond to feedback to Consultation Paper 18/16: Authorised push payment fraud – extending the jurisdiction of the Financial Ombudsman Service. -
PS20/6 Pension transfer advice: feedback on CP19/25 and our final rules and guidance
The FCA has published new rules and guidance on pension transfer advice, particularly defined benefit (DB) to defined contribution (DC) transfers. This Policy Statement forms part of a wider package to improve the suitability of pension transfer -
Barclays fined £38 million for putting £16.5 billion of client assets at risk
This breached the FCA’s Client Asset Rules and requirements that firms should have adequate management, systems and controls (Principle 3) and properly safeguard clients’ assets (Principle 10). -
Individual charged with investment fraud over unauthorised multimillion pound ‘Kube Trading’ scheme
The Financial Conduct Authority (FCA) has launched criminal proceedings against Lee Steven Maggs of Sittingbourne, Kent, for 2 counts of fraud and 1 count of breaching the Financial Services and Markets Act 2000 (FSMA). -
FG14/7 - Primary Market Bulletin No. 6 and Primary Market Bulletin No. 7
one new technical note to explain the prospectus disclosure requirements for retail investors in non-equity securities. ... Four existing Notes amended. UKLA/PN/909.2 – Sponsor firms – ongoing requirements during reorganisations. -
FG16/4: Guidance on Small and Medium Sized Business (Credit Information) Regulations, and Small and Medium Sized Business (Finance Platform) Regulations
In April 2016 we published guidance explaining the scope of our functions in relation to the regulations, which require us to monitor and enforce relevant requirements. We updated this guidance in October 2016. -
Information on fines and active or closed investigations since January 2018 - April 2020
The FCA provides information on any fines levied and the number of active or closed investigations since January 2018 for breaching requirements under Directive 2014/65/EU (MiFID II) and Regulation (EU) No 600/2014 (MiFIR) to report RTS 24 order -
Draft Guidance: Mortgages and coronavirus: updated Tailored Support Guidance for firms
This guidance applies in the exceptional circumstances arising out of the coronavirus (Covid-19) pandemic and its impact on the financial situation of mortgage customers.