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FS19/7: Building a regulatory framework for effective stewardship
In January 2019, jointly with the Financial Reporting Council (FRC), we published a Discussion Paper, Building a Regulatory Framework for Stewardship (DP 19/1). This Feedback Statement (FS) responds to the views we received, within the scope of our -
Financial watchdog cracks down on problem firms and supports struggling borrowers
In the past year, the FCA has reduced harm to consumers and businesses by stopping 627 firms, that failed to meet the minimum standards, from operating. -
Occasional Paper No. 26: From advert to action: behavioural insights into the advertising of financial products
How are we affected by financial advertising? What do we pay attention to and when might we be misled? In this paper we explore the science of advertising to answer these questions. -
FCA publishes update on wide-ranging review of retail banking sector
The FCA has published an update on its Strategic Review of Retail Banking Business Models. -
OPBAS publishes report on legal and accountancy sector supervision
In its fourth report, the Office for Professional Body Anti-Money Laundering Supervision (OPBAS) has found that professional bodies are continuing to demonstrate good levels of compliance with money laundering regulations but improvements in how -
FCA seeks industry views on a new prudential regime for UK investment firms
The FCA has published a discussion paper on a prudential regime for UK investment firms. -
FCA sets out approach to Non-Executive Directors and the Senior Managers Regime
They are in a position to exercise a strong influence on the business and its culture through incentives and the messages that they give to staff. -
Banks, building societies and credit unions – branch access for essential services
Banks, building societies and credit unions are working closely with the FCA, the Prudential Regulation Authority and HM Treasury to maintain branch access for essential services. The FCA urges customers to only visit branches where absolutely -
Review of general insurance intermediaries’ professional indemnity insurance: TR16/9
This report provides the findings from our thematic review into general insurance intermediaries’ professional indemnity. The review was performed to evaluate the individual policies purchased by a sample of firms to assess whether they complied -
Information on notifications of senior person amendments or removals - May 2022
The FCA provides data on notifications of senior person amendments or removals.