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FCA and FRC joint statement reminding companies that extended financial information timelines continue to apply
In a joint statement, the FCA and the Financial Reporting Council (FRC) have asked firms to stay aware of the current measures in place, considering the situation created by coronavirus (Covid-19). -
CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients
This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks. -
Finalised guidance: Coronavirus and safeguarding customers’ funds: additional guidance for payment and e-money firms [pdf]
This finalised guidance intends to strengthen firms’ prudential risk management and arrangements for safeguarding customers’ funds in this period of economic stress due to coronavirus. -
Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules
risk of the occurrence of related party transactions. -
Coronavirus and safeguarding customers’ funds: additional guidance for payment and e-money firms
This finalised guidance intends to strengthen firms’ prudential risk management and arrangements for safeguarding customers’ funds in this period of economic stress due to coronavirus. -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and -
FCA strengthens consumer protection by speeding up removal of firms that do not use their regulatory permission
Businesses are required to prove they are carrying out the regulated activities they are permitted to or face losing this permission -
Review of terminal illness benefits within life insurance protection products
FCA review of insurance companies’ approaches to terminal illness benefits to make recommendations for improvement. -
Occasional Paper No. 9: Two plus two makes five? Survey evidence that investors overvalue structured deposits
Disclosure of likely product returns and risk led investors who had initially overestimated returns or underestimated risk of return to change their preferences. -
FCA publishes Decision Notices for Carillion plc (in liquidation) and three of its former executive directors
The FCA has imposed a public censure on Carillion, rather than a financial penalty, given the firm is insolvent and in liquidation