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Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct
systems. In particular, Barclays failed to:. create or implement adequate policies or procedures to properly manage the way in which Barclays’ traders participated in the Gold Fixing;. -
FCA consults on proposals to boost disclosure of diversity on listed company boards and executive committees
FCA consults on proposals to boost disclosure of diversity on listed company boards and executive committees. -
PS19/10: Recovering the costs of regulating credit rating agencies, trade repositories and securitisation repositories after the UK leaves the European Union
This policy statement (PS) provides feedback on the responses we received to consultation and sets out the fees structure we will put in place for credit rating agencies (CRAs), trade repositories (TRs) and securitisation repositories (SRs) when -
GC14/9 Multilateral Trading Facilities (MTFs) - Dear CEO Letter and FCA Good Practice Observations on MTF Rulebooks
MTF Supervision. Market Infrastructure & Policy. Markets Division. The Financial Conduct Authority. -
The FCA sets out in detail how it will regulate consumer credit, including payday lending, when it takes over responsibility in April 2014
February 2014. Policy statement in response to this consultation, including final rules for the new regime. -
FS20/10: Coronavirus and safeguarding customers’ funds: guidance for payment and e-money firms
We summarise the feedback to our proposed temporary guidance on payment firms’ prudential risk management and safeguarding arrangements for customers’ funds, in light of coronavirus. -
Debt management firms still failing Britain’s most vulnerable consumers, says FCA
All debt management firms are required to have clear and effective policies in place to identify and deal with vulnerable consumers. -
Implementing MiFID II – multi-firm review of research unbundling reforms
Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how -
Impact assessment: Pension reforms – proposed changes to our rules and guidance (CP15/30 and PS16/12) [pdf]
This impact assessment relates to pension reforms – proposed changes to our rules and guidance (CP15/30 and PS16/12). It has been verified by the Regulatory Policy Committee. -
Impact assessment: Guidance for firms outsourcing to the ‘cloud’ and other third party IT services (FG16/5) [pdf]
This impact assessment relates to Guidance for firms outsourcing to the ‘cloud’ and other third party IT services (FG16/5). It has been verified by the Regulatory Policy Committee.