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CP17/10: Consultation on persistent debt and earlier intervention remedies
We are consulting on measures to address persistent credit card debt and require credit card firms to use their data to identify customers at risk of financial difficulties. In this document we also set out details of an industry voluntary agreement -
Economical with the truth: three ways behavioural science can help to spot a misleading advert
In 2007, a pharmaceuticals company advertised a drug that decreased the risk of a heart attack by 36%. ... While this statistic was quite correct, it was framed as a relative rather than an absolute decrease in risk and sounded very impressive as a result -
Occasional Paper No. 37: Flash Crash in an OTC Market
This Occasional Paper contributes to the research on flash crashes which are high-profile episodes that can be thought of as short-lived malfunctions of capital markets typically involving a substantial price change and a drying up of liquidity -
Ex-Mortgage Broker pleads guilty to 12 Criminal Offences
In a case brought by the Financial Conduct Authority (FCA) Michael Joseph James Lewis, in a plea and case management hearing at Maidstone Crown Court, pleaded guilty to ten counts of breaching the general prohibition under Section 19 of the -
PS19/30 Independent Governance Committees: extension of remit
This policy statement sets out the FCA's final rules to extend the remit of Independent Governance Committees, with new duties in 2 areas. -
FCA establishes industry-led working group for financial advisers
The FCA has appointed Daniel Godfrey as chair and Julia Dreblow as vice-chair of a new working group focused on building capability in sustainable finance across the financial advice sector. The Personal Investment Management & Financial Advice -
Alternative investment fund manager (AIFM) hosting
Information for AIFMs using the host model to manage alternative investment funds (AIFs), known as AIFM hosting. -
Larry Barreto and Tassib Hussain sentenced for mortgage fraud
On 27 March 2024, Larry Barreto and Tassib Hussain were sentenced for fraud offences following a prosecution brought by the FCA, which saw the pair convicted in November 2023. -
The role of High Frequency Traders in FX markets
FCA economist Peter O’Neill and Academic Shihao Yu at Columbia University, examine the role of new High-Frequency Trading (HFT) entrants to the once bank dealer dominated Foreign Exchange market. -
PRA and FCA statement on compliance with the EBA Guidelines on Sound Remuneration Policies
put remuneration at risk should financial or conduct risks subsequently come to light. ... and consequences for risk-taking across all CRD-regulated firms by disregarding the size, internal organisation, nature, scope and complexity of their activities.