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FCA makes Market Investigation Reference for investment consultancy services
The Financial Conduct Authority (FCA) has today confirmed its final decision to make a Market Investigation Reference (MIR) to the Competition and Markets Authority (CMA) in relation to investment consultancy and fiduciary management services. -
FCA and PSR Boards appoint new members to decision-making committees
insurance and retail banking. -
Capital Markets Union – a regulator’s perspective
Speech by David Lawton, Director of Markets, Policy and International, at the FCA, delivered at the Deutsche Borse Group ‘Blueprint for a European Capital Markets Union’ event on 27 May 2015 at the ETC venues, London. This is the text of the -
FCA extends the Senior Managers and Certification Regime to 47,000 firms
FCA extends the Senior Managers and Certification Regime to 47,000 firms -
FCA orders WealthTek Limited Liability Partnership to cease operations as High Court appoints Joint Special Administrators and arrest made
BDO LLP to take interim control of WealthTek Limited Liability Partnership. -
FCA fines LBGI £90 million for failures in communications for home insurance renewals between 2009 and 2017
The FCA has fined LBGI (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) £90,688,400 for failing to ensure that language contained within -
Competition Policy in Financial Markets – the view from the regulators
Speech by Mary Starks, Director of Competition, FCA, delivered at the Centre for Competition Policy (CCP) Conference on 10 June in Norwich. -
CP23/23: Prudential assessment of acquisitions and increases in control
We are consulting on proposals to replace EU guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector. -
FCA Board appoints three new members to the Regulatory Decisions Committee
He now operates as an independent consultant via his own business Craddock is also a director of The Association of Professional Financial Advisers (APFA), an associate of the Chartered Insurance Institute -
Tribunal upholds FSA decision to fine firm £8m for market abuse
The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as