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FCA announces new chair of the Smaller Business Practitioner Panel
Charles Randell, Chair of the Financial Conduct Authority, has today announced the appointment of Marlene Shiels, Chief Executive of Capital Credit Union, as Chair of the FCA’s Smaller Business Practitioner Panel from 1 October 2019. She has been -
PS19/18: Restricting contract for difference products sold to retail clients
We have finalised rules restricting how CFDs and CFD-like options are sold, marketed, and distributed to retail consumers. -
FCA launches review of treatment of Politically Exposed Persons
The FCA has today set out issues it will consider as part of a review of the treatment of domestic Politically Exposed Persons (PEPs) by financial services firms. -
FCA publishes guidance on pension reforms announced in Budget 2014
their customers through the changes in the retirement landscape. -
Can robo-advice improve borrower repayment decisions?
Analysis showing that a simple automated ‘robo-advice’ tool significantly improved borrower repayment decisions in a randomised controlled trial. -
FCA confirms extension of the Temporary Permission Regime deadline
The FCA has today confirmed the deadline for notifications for the temporary permissions regime (TPR) will be extended to the end of 30 October 2019. TPR would allow EEA-based firms passporting into the UK to continue new and existing regulated -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
FCA censures Aviva plc for listing and transparency rules breach
The FCA has today publicly censured Aviva plc for making an announcement that had the potential to mislead the market. -
Michael Nascimento sentenced for failing to pay confiscation order
Mr Nascimento has been sentenced to an additional almost four years in prison for failing to pay a confiscation order made against him. -
The FSA and the Bank of England relax the barriers to entry for new bank entrants
The Financial Services Authority (FSA) and the Bank of England have published the results of their review (the Review) into barriers to new entrants to the banking sector. This Review sets out significant changes to regulatory requirements and