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Showing 381 to 390 of 448 search results for published Primary Market Bulletin.

  1. Insights from the Cyber Coordination Groups

    Research notes Published: 11/03/2020 Last modified: 09/04/2024
    Insights from the Cyber Coordination Groups

  2. FCA bans IFA directors who provided false and misleading SIPP declarations

    Press Releases Published: 12/10/2020 Last modified: 12/10/2020
    The FCA has banned Peter Howson and John Butterfield from performing any regulated activity because of their roles in the submission of false and misleading information about customers’ high net worth status. 

  3. Implementing Technology Change

    Firms Multi-firm reviews Published: 05/02/2021 Last modified: 05/02/2021
    This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce

  4. Wealth Managers and Financial Advisers and change of control requests 2017-2021 - March 2022

    FOI Release Date of Release: 08/03/2022
    The FCA provides data on Wealth Managers and Financial Advisers.

  5. DP16/2: CASS 7A and the Special Administration Regime Review

    Discussion papers Published: 09/03/2016 Last modified: 09/11/2016
    DP16/2: CASS 7A and the Special Administration Regime Review. Discussion papers First published:. ... definitions of a primary pooling event (PPE) and secondary pooling event, the treatment of post PPE receipts and additions to the CASS Resolution Pack.

  6. FCA and Industry Working Group on interest-only mortgages: terms of reference

    Mortgages Published: 21/02/2024 Last modified: 21/02/2024
    We are forming a working group to support and inform our review of existing interest-only guidance as well helping our understanding on how interest-only borrowers are currently treated.

  7. CP14/29: Guaranteed Asset Protection insurance: a competition remedy

    Consultation papers Published: 12/12/2014 Last modified: 15/01/2015
    CP14/29: Guaranteed Asset Protection insurance: a competition remedy. Consultation papers First published:. ... In July 2014, we confirmed our findings from the general insurance add-ons market study that competition is not effective where products are

  8. CP15/31: Strengthening accountability in banking and insurance: regulatory references

    Consultation papers Published: 06/10/2015 Last modified: 08/12/2015
    CP15/31: Strengthening accountability in banking and insurance: regulatory references. Consultation papers First published:. ... Both regulators delayed making rules in order to reflect on the recommendations of the Fair and Effective Markets Review (FEMR

  9. Financial crime systems and controls during coronavirus situation

    Focus areas Published: 06/05/2020 Last modified: 21/02/2023
    Find out about the FCA's expectations on how firms should apply their systems and controls to combat and prevent financial crime during the coronavirus crisis.

  10. AIM Investment Company fined for failing to disclose inside information as soon as possible

    Press Releases Published: 14/12/2017 Last modified: 14/12/2017
    The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has