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Impact assessment: Wealth management firms and private banks - Suitability of investment portfolios (TR15/12) [pdf]
This impact assessment relates to Wealth management firms and private banks - Suitability of investment portfolios (TR15/12). It has been verified by the Regulatory Policy Committee. -
Information on claims management companies who have registered for full authorisation - April 2020
The FCA provides information on claims management companies who have registered for full authorisation in Application Period One (1 April 2019 to 31 May 2019) -
CP14/21: Feedback and Policy Statement on CP14/02, consultation on joint sponsors and call for views on sponsor conflicts
CP14/21: Feedback and Policy Statement on CP14/02, consultation on joint sponsors and call for views on sponsor conflicts. ... CP14/21: Feedback and Policy Statement on CP14/02, consultation on joint sponsors and call for views on sponsor conflicts.. -
PS20/15: High-risk investments: Marketing speculative illiquid securities (including speculative mini-bonds) to retail investors
The FCA has confirmed proposals to permanently ban the mass-marketing of speculative illiquid securities - including speculative mini-bonds - to retail investors -
FCA consults on proposed decision to require synthetic LIBOR for 6 sterling and Japanese yen settings
FCA consults on proposed decision to require synthetic LIBOR for 6 sterling and Japanese yen settings. -
CP18/36: Brexit: proposed changes to the Handbook and Binding Technical Standards – second consultation
In this paper, we publish further proposals on how we will amend our Handbook and EU derived binding technical standards (BTS) if the UK leaves the EU without an implementation period in place. We also consult on our proposed approach to -
Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds
We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and -
Unit-linked funds’ governance review (follow up to PS18/8): findings and next steps
We reviewed firms’ governance practices covering the value provided by unit-linked funds. -
FCA and Bank of England encourage switch from LIBOR to SONIA for sterling interest rate swaps from Spring 2020
The FCA and the Bank of England encourage market makers to change the market convention for sterling interest rate swaps from LIBOR to SONIA (the Sterling Overnight Index Average) in Q1 2020. This change is intended to move the greater part of new -
CP15/33: Consumer credit: proposals in response to the CMA’s recommendations on high-cost short-term credit
Or send them in writing to:. Anna Solar-Bassett. Consumer Credit Policy Team. ... Canary Wharf. London E14 5HS. We will consider your feedback and publish a Policy Statement with final rules and guidance.