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The regulation of advice – recommendations post FAMR
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the Westminster and City industry forum on FAMR, on 13 April 2016. This is the text of the speech as drafted, which may differ from the delivered version. -
PS20/2: Publishing and disclosing costs and charges to workplace pension scheme members and amendments to COBS 19.8
Following our consultation in CP19/10, we are publishing our final rules and guidance on requiring pension scheme governance bodies to report costs and charges information to members of workplace pension schemes and some amendments to our COBS 19.8 -
FCA response to the independent panels’ annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports. -
FCA Mortgage Conference 2015 — panel summaries
but the mainstream mortgage market also has a significant role to play, to provide the capacity needed to meet the requirements of a growing older population. ... The mortgage sector has been somewhat preoccupied with other issues since the financial -
Authorised fund managers’ assessments of their funds’ value
This review sets out our findings from our review, where we looked at the processes used by different Authorised Fund Managers (AFMs) when they carry out assessments of value (AoVs or 'Value Assessments') for the funds they operate. -
FCA bans four for 'disgraceful' failings in relation to occupational pension schemes
Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics -
Authorised fund managers’ assessments of fund value 2023
Feedback following the second MFR of Authorised Fund Managers compliance with our Assessment of Value rules. -
The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA
The FCA will use all the tools at its disposal – supervision, rule-making and enforcement – to ensure that firms do not exploit conflicts of interest or the trust placed in them ... This breached the FCA’s requirement that firms are open and -
Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money
The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in -
FCA publishes decision notices against One Call Insurance Services Limited and John Lawrence Radford
The Financial Conduct Authority has today published Decision Notices in respect of One Call Insurance Services Limited (One Call) and its Chief Executive and majority shareholder John Lawrence Radford.