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FCA welcomes a significant milestone in the development of standards in FX markets through the publication of the BIS Global FX Code
The FCA has also worked with firms to ensure a number of other conduct risks identified as part of the FX remediation work - initiated following FCA enforcement action against a number -
FSA fines Royal Bank of Scotland Group £5.6m for UK sanctions controls failings
The Financial Services Authority (FSA) has today fined members of the Royal Bank of Scotland Group (RBSG) £5.6m for failing to have adequate systems and controls in place to prevent breaches of UK financial sanctions. -
FG14/6 - Annuity comparison websites: Financial promotions review and guidance for firms
Tax. A respondent believed that the current required tax risk warning should be accompanied by sign-posting as to where further information could be obtained. ... But we do not feel this is necessary as the tax risk warning is fairly high-level - -
Claims handling lessons learned from business interruption insurance
The FCA sets out the findings from its review assessing how firms handled Business Interruption (BI) insurance claims following the Supreme Court’s judgment on the BI test case, including examples of good practices and areas where firms have -
Martin Wheatley calls for greater transparency in the asset management sector at the 2013 FCA Asset Management Conference
Later this week the FCA will publish the findings of a review of 22 that shows good examples of risk management, but also reveals too many common weaknesses. -
FCA response to FSB’s Super-Complaint - requiring personal guarantees for business loans
On 08 December 2023, we received a super-complaint from the Federation of Small Businesses (FSB). This is the first super-complaint we have received since the super-complaint regime was applied to the FCA in 2013. -
Prudential Regulation Authority and Financial Conduct Authority consult on proposals to improve responsibility and accountability in the banking sector
The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have today published two joint consultation papers aimed at improving individual responsibility and accountability in the banking sector. -
J.P. Morgan International Bank fined for systems and controls failings in its wealth management business
The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services. -
FCA to ban the promotion of UCIS and certain close substitutes to ordinary retail investors
The Financial Conduct Authority (FCA) has published final rules to ban the promotion of Unregulated Collective Investment Schemes (UCIS) and certain close substitutes (together to be known as Non-Mainstream Pooled Investments (NMPIs)) to the vast -
FCA confirms accountability rules for wholesale traders and interim rules on regulatory references
the certification regime applies to other staff who could pose a risk of significant harm to the firm or any of its customers (for example, staff who give investment advice or