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Liquidity Management multi-firm review
Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management. -
Kenneth Carver fined £35,212 for insider dealing
Mr Willmott held inside information relating to a potential takeover of Logica through his employment at the group. -
Information on enforcement investigations under SMR - June 2022
The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime. -
FCA launch the Financial Services Regulatory Partners Phoenixing Group
The Financial Conduct Authority (FCA) held a round table event with its regulatory partners to build on existing collaboration and launch a working group to tackle the ongoing issue of phoenixing in financial services. -
City Week: how regulation can help the UK lead in Fintech
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry. -
Navigating the UK's Digital Regulation Landscape: Where are we headed?
Speech by Nikhil Rathi, FCA Chief Executive delivered at the Digital Regulation Cooperation Forum (DRCF) -
FCA reminds firms to regularly review regulatory permissions
We are reminding firms of their obligation to regularly review regulatory permissions to ensure they are up to date and removed where they are not needed. -
Continuous payment authorities: it is your right to cancel
Find out your rights when cancelling a continuous payment authority and what to do if your bank does not allow you to do this. -
Mohammed Zina found guilty of insider dealing and fraud
Mohammed Zina was found guilty of six offences of insider dealing and three offences of fraud following a 12-week trial at Southwark Crown Court brought by the FCA. -
Investors in CF Arch cru funds must ask adviser for review
Investors in the CF Arch cru Investment and Diversified funds will be asked if they want their investment reviewed to see if they are entitled to compensation. Find out more about the consumer redress scheme.