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PS15/7: Feedback and policy statement on CP14/21 in relation to joint sponsor proposals
Our feedback, final rules and Technical Note in response to our consultation on joint sponsors set out in CP14/21 Feedback and Policy Statement on CP14/02, Consultation on joint sponsors and call for views on sponsor conflicts. -
Research Note: Choosing wisely: preferences, comprehension and the effect of risk warnings on financial promotions for investment products
Our research from online laboratory experiments provides evidence-based understanding of how investors choose high risk investment products. -
The FCA’s new competition powers: what do they mean for the financial services industry?
Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines EFG Private Bank £4.2m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined EFG Private Bank Ltd (EFG) £4.2 million for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers. The failings were serious -
PS20/15: High-risk investments: Marketing speculative illiquid securities (including speculative mini-bonds) to retail investors
The FCA has confirmed proposals to permanently ban the mass-marketing of speculative illiquid securities - including speculative mini-bonds - to retail investors -
High Court orders illegal pension introducers Avacade, Alexandra Associates and their directors to pay £10,715,000 restitution to consumers
The two companies and three individuals must pay restitution to members of the public who were induced to transfer their pensions into self-invested personal pensions (SIPPs). -
FCA consults on rules and guidance to improve conduct and communications in payment services and e-money firms
The Financial Conduct Authority (FCA) is consulting on rules and guidance to improve conduct standards and communications in the payment services and e-money sectors. -
From Diocletian to pay day loans: what can we learn from successful and unsuccessful price regulation?
Speech by Mary Starks, Director of Competition and Chief Economist at the FCA, delivered at the Social Market Foundation (SMF) lecture, London. -
Implementing MiFID II – multi-firm review of research unbundling reforms
Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how -
Occasional Paper No. 50: Quantifying the High-Frequency Trading 'Arms Race': A new methodology and estimates
Occasional Paper 50