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Unit-linked funds’ governance review (follow up to PS18/8): findings and next steps
We reviewed firms’ governance practices covering the value provided by unit-linked funds. -
Market Force and the Chartered Institute’s Nicholas Barbon Lectures
Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London -
How innovation and regulation in financial services can drive the UK's economic growth
Speech by Sheldon Mills, Executive Director, Consumers and Competition delivered at the CityUK Annual Conference 2023. -
Authorised fund managers’ assessments of their funds’ value
This review sets out our findings from our review, where we looked at the processes used by different Authorised Fund Managers (AFMs) when they carry out assessments of value (AoVs or 'Value Assessments') for the funds they operate. -
Wholesale banks and asset management cyber multi-firm review findings
In late 2017 and early 2018 we carried out a cyber multi-firm review with a sample of 20 firms in the asset management and wholesale banking sectors. The firms we selected varied in terms of their size, scale, operating models and geography. These -
LIBOR and the FCA's powers under the UK Benchmarks Regulation: questions and answers
In September 2021, we published information for firms to help manage an orderly wind-down of LIBOR. We explain this as well as information about our UK Benchmarks Regulation (BMR) powers. -
PS19/24: Illiquid assets and open-ended funds and feedback to Consultation Paper CP18/27
This Policy Statement summarises the feedback received to our consultation on illiquid assets and open-ended funds. It sets out our final rules relating to disclosure, liquidity management and suspension of dealing, as originally proposed in CP18/27. -
PS15/11: Buy-to-let mortgages – implementing the Mortgage Credit Directive Order 2015, feedback on CP15/3 and final rules
In this Policy Statement we summarise the feedback we received to the proposals contained in CP15/3 and give our responses. We are also publishing our final Handbook rules and guidance on implementing the Government’s legislative regime for -
Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds
We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and -
Principal firms who have Credit Broking permissions: Good practice and areas for improvements
We assessed the key harms and drivers of harm caused by ARs and IARs who undertake credit broking. We found some examples of good and poor practice that we'd like to share with firms, as we think they can improve their practices.