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Showing 1991 to 2000 of 2126 search results for occasional papers.

  1. Firms continue to fail to meet our expectations on their use of dealing commission

    Multi-firm reviews Published: 03/03/2017 Last modified: 29/11/2021
    We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015.

  2. Financial Conduct Authority consults on restrictions on the retail distribution of regulatory capital instruments

    Press Releases Published: 29/10/2014 Last modified: 29/10/2014
    Distribution to professional and institutional investors remains unrestricted. Consultation paper: Restrictions on the retail distribution of regulatory capital instruments.

  3. CP18/23: Claims management companies: recovering the costs of regulation and the Financial Ombudsman Service

    Consultation papers Published: 20/08/2018 Last modified: 31/08/2018
    This paper sets out our proposals for recovering the costs of regulating claims management companies (CMCs) when applications open for temporary permissions on 1 January 2019.

  4. PS16/20: Payment Accounts Regulations 2015 - feedback on CP16/7, final Handbook changes and finalised guidance

    Policy statements Published: 01/08/2016 Last modified: 01/08/2016
    In this Policy Statement we summarise the feedback we received to Consultation Paper 16/7: Payment Accounts Regulations 2015 – draft Handbook changes and draft guidance.

  5. FCA confirms accountability rules for wholesale traders and interim rules on regulatory references

    Press Releases Published: 04/02/2016 Last modified: 19/04/2016
    The responses to the regulatory references consultation paper CP15/31 raised a number of complex issues which require further deliberation before final rules are made.

  6. FG16/6: Payment Accounts Regulations 2015 - definition of a 'payment account'

    Finalised guidance Published: 01/08/2016 Last modified: 01/08/2016
    In March 2016 we consulted on guidance on the definition of a 'payment account' under the Payment Accounts Regulations 2015 (PARs). We have now published the finalised guidance.

  7. Upper Tribunal upholds the FCA decision to fine and ban former Keydata executives

    Press Releases Published: 06/11/2018 Last modified: 06/11/2018
    The Upper Tribunal has today upheld the Financial Conduct Authority’s (FCA) decision to fine and ban Stewart Ford and Mark Owen, the former CEO and sales director respectively of Keydata Investment Services Ltd (Keydata).

  8. FCA launches consultation guiding firms on the fair treatment of vulnerable customers

    Press Releases Published: 23/07/2019 Last modified: 23/07/2019
    The Financial Conduct Authority (FCA) has today launched a consultation on proposed guidance for firms on the fair treatment of vulnerable customers.

  9. CP19/1: Recovering the costs of regulating securitisation repositories after the UK leaves the European Union

    Consultation papers Published: 08/01/2019 Last modified: 29/03/2019
    This paper sets out the fees structure we intend to establish for securitisation repositories (SRs) when responsibility for their regulation passes to us from ESMA (European Securities and Markets Authority) after the UK leaves the EU (European Union

  10. TR16/1: Assessing suitability: Research and due diligence of products and services

    Thematic reviews Published: 19/02/2016 Last modified: 25/02/2016
    We will be publishing a second consultation paper on the implementation of the Markets in Financial Instruments Directive (MiFID II) later this year.
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