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FCA fines Sunrise Brokers LLP £642,400 for serious financial crime control failings in relation to cum-ex trading
Sunrise Brokers LLP has been fined over £600,000 for deficient anti money laundering systems and controls -
Business interruption insurance test case: transcript first Case Management Conference on 16 June [pdf]
The final approved transcript of the first Case Management Conference on 16 June. -
TR18/5: Management of long-term mortgage arrears and forbearance
FCA findings on how mortgage lenders manage customers with long-term mortgage arrears and provide forbearance to affected customers. -
Chris Woolard discusses emergency regulation and learning from the coronavirus crisis
Interim Chief Executive Chris Woolard discusses emergency coronavirus regulation and the Business Plan -
Occasional Paper No. 39: Estimating the benefits of interventions that affect consumer behaviour
The aim of this Occasional Paper is to help us estimate the benefits of our interventions, while recognising the challenges. -
PS14/5: Response to CP12/38 – Mutuality and with-profits funds: a way forward
We summarise and give response feedback to CP12/38 – Mutuality and with-profits funds: a way forward. -
CP24/10: Joint PRA and FCA Consequential Amendments to BTS 2016/2251
We’re jointly consulting with the Prudential Regulation Authority (PRA) on proposed changes to the UK EMIR bilateral margin requirements. -
PS20/13: Amendments to the open banking identification requirements (eIDAS certificate)
We outline feedback to CP20/18 and confirm near final rules to amend Article 34(1) of the UK-RTS, with minor changes to the proposal in CP20/18. -
FCA fines Gatehouse Bank £1.5m for poor anti-money laundering checks
The Financial Conduct Authority has fined Gatehouse Bank Plc £1,584,100 for significant weakness in its financial crime systems and controls. -
PS16/12: Pension reforms – feedback on CP15/30 and final rules and guidance
Policy statements First published:. 25/04/2016. Last updated: 25/04/2016. Share page. ... This Policy Statement will be relevant to all those with an interest in pensions and retirement, including:.