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Improving the Appointed Representatives regime through greater use of data
This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and -
How implementing the Mortgage Market Review will shape the new market
Speech by Linda Woodall, Director of Mortgages and Consumer Lending, the FCA, at the Financial Services Expo, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA response to the independent panels’ annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports. -
FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
Finalised Guidance: Consumer credit and coronavirus: updated guidance for firms
This guidance applies in the exceptional circumstances arising out of the coronavirus (Covid-19) pandemic and its impact on the financial situation of consumer credit customers. -
RBS fined £87.5 million for significant failings in relation to LIBOR
The Financial Services Authority (FSA) has fined The Royal Bank of Scotland plc (RBS) £87.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR). -
FCA Mortgage Conference 2015 — panel summaries
as the availability of property, financial implications (eg costs or impact on tax position), and the inconvenience of moving. ... However, this will come to an end, and some consumers’ financial positions could change very quickly. -
Competition in the asset management industry: UK experiences, global implications
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Securities Industry and Financial Markets Association's (SIFMA) 2017 Annual Meeting. -
The FCA’s second phase of reform of the Listing Rules: Increasing transparency and encouraging more market participation
Speech by Clare Cole, FCA Director of Market Oversight, to The Regulation of Listed Companies Summit -
Two financial advisers banned and fined after investors lose out
Two Surrey-based investments advisers have been fined a total of £885,000 and been banned by the Financial Conduct Authority (FCA) from holding any position at a financial firm. ... Bentley-Leek and Dervish fell far short of our expectations, they