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FCA publishes interim feedback following a call for input to the post-implementation review of the rules for crowdfunding
The Financial Conduct Authority (FCA) has given an update on the post-implementation review of the loan-based and investment-based crowdfunding market. Our earlier call for input raised a number of issues for discussion; the feedback statement -
Complaints fall by 5%: PPI, current accounts and general insurance still most complained about products
The latest complaints data published by the Financial Conduct Authority (FCA) shows financial services firms received 2,358,732 new complaints between January and June 2014. -
FCA gives update on banks’ overdraft pricing decisions and plans to support consumers
Our new rules on overdrafts address both how much the most vulnerable were being charged for unarranged overdrafts, and the level of fees and charges that many arranged overdraft customers were paying on top of interest rates. -
FCA launches consultation on a new type of fund to support investment in long-term assets
The FCA has launched a consultation on proposals for a new category of fund designed to invest efficiently in long-term, illiquid assets. -
Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse
The Tribunal found that Carrimjee failed to act with due skill, care and diligence in failing to escalate the risk that his client, Rameshkumar Goenka, might have been intending to engage ... in market manipulation, and that this risk should have been -
An evaluation of bringing additional benchmarks into the regulatory and supervisory regime
In this paper, we evaluate the Benchmarks (Amendment) Instrument 2015, which brought seven benchmarks into our regulatory and supervisory regime. -
PS18/8: Implementing asset management market study remedies and changes to our Handbook – feedback to CP17/18 and final rules
This policy statement sets out our final rules and guidance to address some of the findings of the asset management market study, focused on the duties that authorised fund managers have as the agents of investors in their funds. -
The Financial Conduct Authority to gather evidence on how the PPI complaints process is working
Additionally, firms are proactively sending over 5m letters to customers they have identified as being at high risk of having suffered a past mis-sale but who have not complained. -
Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR
The two directors failed to recognise the risk of this culture developing and failed to take reasonable steps to prevent it. ... Both individuals also ignored obvious risks such as the risk that brokers would give or accept inducements. -
Coronavirus and customers in temporary financial difficulty: guidance for insurance and premium finance firms
We set out our expectations for firms when considering the fair treatment of existing customers, and in particular customers with temporary financial difficulties due to coronavirus.