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Position limits for commodity derivative contracts
We are required to set limits on the maximum size of positions which a person can hold in commodity derivatives. Here we set out these position limits. -
Santander UK Plc (Santander) fined £32.8m for serious failings in its probate and bereavement process
The Financial Conduct Authority (FCA) has fined Santander £32,817,800 for failing to effectively process the accounts and investments of deceased customers. -
Understanding approaches to D&I in financial services
The FCA observed how financial services firms are designing and embedding diversity and inclusion strategies. The observations give an overview of initiatives to improve diversity and inclusion, which industry leaders can consider in reviewing their -
Review of later-life mortgages finds poor advice and misleading promotions
The review looked at firms responsible for around half of all lifetime mortgage sales. -
FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches
Had SEI become insolvent, these failings could have led to complications and delay in distribution and placed client money at risk. -
Investment advisers’ and authorised firms’ responsibilities when accepting business from unauthorised introducers or lead generators
This alert highlights some of the risks arising from authorised firms accepting business from unauthorised introducers/lead generators and other authorised firms. -
FCA turns to science and music to protect public from loan fee fraud this Christmas
The FCA has launched the UK’s first official anti-fraud jingle in a bid to protect consumers against loan fee fraud over the Christmas period. -
Financial Lives 2022 survey: insights on vulnerability and financial resilience relevant to the rising cost of living
The FCA presents early data, from its latest Financial Lives survey, on vulnerability and financial resilience, and insights into the financial positions of UK consumers in May 2022. This data contributes to the evidence base on the rising cost of -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
FCA says firms not treating delegated authority arrangements as outsourcing in the general insurance market
We expect firms to consider the findings of the report and make any necessary changes to ensure that customers are treated fairly and not at risk of detriment.”.