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FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators
ETV thematic review identifies risk of customers losing out on retirement income due to poor advice. ... The FCA will work with firms to ensure that affected consumers receive appropriate redress and for most consumers there is no need to act straight -
FCA sets out its approach to financial promotions in social media
promotions. More particularly, firms are using, or wanting to use social media for their communications with customers. ... Primarily, what firms do on social media must ensure customers are at the heart of their business. -
Liquidity management for investment firms: good practice
The FCA has been working with the Bank of England, at the request of the Financial Policy Committee (FPC), to assess risks posed by open-ended investment funds investing in the fixed income sector. As part of this work we have engaged with a number -
FCA response to FSB’s Super-Complaint - requiring personal guarantees for business loans
On 08 December 2023, we received a super-complaint from the Federation of Small Businesses (FSB). This is the first super-complaint we have received since the super-complaint regime was applied to the FCA in 2013. -
Key findings on our recent work on pension transfer advice
Pension transfers have been a priority for us throughout 2018. Our work has focussed in particular on those firms most active in the market. We have also looked more closely into some firms based on intelligence (for example whistleblowing) we -
The regulation of advice – recommendations post FAMR
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the Westminster and City industry forum on FAMR, on 13 April 2016. This is the text of the speech as drafted, which may differ from the delivered version. -
2017 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2017. -
An update on our approach to authorisation and our Brexit preparations
Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Autumn Conference. -
Interest rate benchmark reform: transition to a world without LIBOR
Andrew Bailey, chief executive of the FCA, on transitioning from LIBOR to alternative interest rate benchmarks. -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
In the cases we have seen, customers’ existing arrangements were invariably traditional pension plans invested in mainstream funds or final salary schemes, with the customer generally having no experience of ... Generally speaking, we found very poor