Description
FCA, The Financial Conduct Authority is a financial regulatory body in the United Kingdom, but operates independently of the UK Government, and is financed by charging fees to members of the financial services industry.
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Details
- Full Name: Financial Conduct Authority
- Organization Type: Private
- Scope: Regulation, Authorization, Supervision, Membership
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Posts
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1
- 10% depreciation notifications: further extension of temporary measures for firms
- 101 firms in scope of new emergency asset retention rules for British Steel Pension Scheme transfer advice
2
A
- Alexander David Securities Limited enters liquidation
- All Flintshire Credit Union enters administration
- Apache Log4j cyber vulnerability
- Ashley Alder appointed FCA chair
B
- Bank of England, FCA, PRA and PSR conduct 2021 review of Memorandum of Understanding for payment systems in the UK
- Barclays fined £783,800 and agrees to make a voluntary payment to Premier FX customers
- Building a digital regulator: how the FCA is riding the innovation wave
C
- Changes to FCA Firm Reference Numbers (FRNs) and Product Reference Numbers (PRNs)
- Changes to LIBOR as of end-2021
- City of Plymouth Credit Union Limited enters administration
- Consumer warning on Falcon Financial Solutions Ltd and Thestral Financial Services Ltd
- Consumer warning on Renaissance Advisory Ltd
- Consumer warning on Semantic Business Services Ltd
- Consumer warning on Unique Funeral Plans and Empathy Funeral Plans
- Consumers struggling with rising prices urged to seek help
- Corporate & Professional Pensions Limited in administration
- Corrie Bauckham Batts Limited enters liquidation
- Court of Appeal upholds appeal in Our Price Records case
- Craig Whyte appears at court for failing to provide key passwords for seized devices
- Critical issues in financial regulation: The FCA’s perspective
E
- Enhancing the UK’s capital markets – The FCA’s role and priorities
- Eunisure Limited enters liquidation
- Events in Ukraine – impact on financial markets
- Exchange of letters and work on multiple-occupancy residential buildings insurance
F
- FCA and PSR respond to announcement from Cash Action Group (CAG)
- FCA and PSR, Joint Regulatory Oversight Committee co-chairs, appoint Bryan Zhang as Strategic Working Group Chair
- FCA announces asset retention rules for British Steel advice firms
- FCA announces changes to its Executive Committee
- FCA announces funeral plan providers likely to be authorised
- FCA appoints members for new Secondary Markets Advisory Committee
- FCA appoints new Director of International
- FCA appoints new Head of Leeds Office as it recruits 200 roles as part of Transformation
- FCA calls on victims of Richard Faithfull to come forward ahead of confiscation hearing
- FCA cancels listing of Umuthi Healthcare Solutions
- FCA clamps down on marketing of high-risk investments to consumers
- FCA commences criminal proceedings in relation to Collateral (UK) Ltd
- FCA confirms approach to European firms temporarily operating in the UK
- FCA confirms new rules to improve oversight of Appointed Representatives
- FCA confirms PRIIPs regulations
- FCA decides to impose conditions on takeover of Link Group
- FCA Decision Notice to Finablr plc
- FCA discontinues action against Craig Whyte
- FCA drives changes to Buy Now, Pay Later (BNPL) firms’ contract terms
- FCA encourages market participants to continue transition of LIBOR-linked bonds
- FCA Final Notice to Finablr plc
- FCA finalises proposals to boost disclosure of diversity on listed company boards and executive committees
- FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse
- FCA fines GAM International Management and former Investment Director Timothy Haywood
- FCA fines Ghana International Bank Plc £5.8m for failings in its anti-money laundering controls
- FCA fines guarantor lender TFS Loans Ltd (in administration) and requires it to provide redress to affected guarantors
- FCA fines HSBC Bank plc £63.9 million for deficient transaction monitoring controls
- FCA fines insurance broker JLT Specialty Limited £7.8m for financial crime control failings
- FCA fines Sir Christopher Gent for disclosing inside information
- FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading
- FCA further bolsters its leadership team as it expands its headcount
- FCA has decided to register the first UK securitisation repositories
- FCA issues an update on switching in the mortgage market
- FCA issues final messages on LIBOR before end-2021
- FCA launches claims management companies fees cap
- FCA launches three-year strategy to improve outcomes
- FCA looks for external experts to help shape its work on ESG issues
- FCA looks for members to help shape secondary markets work
- FCA makes senior hires
- FCA makes three senior hires
- FCA planning reform of the listing regime to boost growth and competitiveness
- FCA proposes rules for pension providers to help deliver Pensions Dashboards
- FCA publishes Decision Notice against hedge fund for conflicts of interest failings
- FCA publishes Decision Notices for Carillion plc (in liquidation) and three of its former executive directors
- FCA publishes guidance consultation for firms who seek to limit their liabilities
- FCA publishes letter confirming it won’t attend Amigo’s Scheme of Arrangement sanction hearings
- FCA publishes letter on Amigo’s Scheme of Arrangement proposal
- FCA publishes the Swift Review into the supervisory intervention on interest rate hedging products
- FCA publishes warning notice statements for GAM International Management and Timothy Haywood
- FCA refuses authorisation to funeral plan provider
- FCA refuses authorisation to regulatory consultancy firm Alexander Jon Compliance Consulting Limited
- FCA regulation boosts consumer protection in the funeral plans market
- FCA reminds consumers of the risks of investing in cryptoassets
- FCA resolves High Court proceedings in relation to unauthorised deposit taking
- FCA responds to complaints into its regulation of Premier FX
- FCA response to Amigo’s scheme being approved by the High Court
- FCA response to Chancellor’s call to stop investing in Russia
- FCA review finds evidence of growing competition in retail banking
- FCA review finds weaknesses in some challenger banks’ financial crime controls
- FCA secures £2,000,000 account forfeiture order
- FCA secures contract changes for buy-now-pay-later customers
- FCA seeks re-trial in insider dealing case
- FCA sets out new employment offer
- FCA sets out plans to deliver £71.2 million of compensation to former British Steel Pension Scheme members
- FCA statement on British Steel Pension Scheme Redress
- FCA stops AJH Financial Services Limited disposing of assets without permission
- FCA stops Alexander David Securities Limited disposing of assets without permission
- FCA stops David Stock & Co Limited disposing of assets without permission
- FCA strengthens consumer protection by speeding up removal of firms that do not use their regulatory permission
- FCA tackling scams faster as part of data strategy
- FCA taking assertive action to tackle harm in the consumer investments market
- FCA tells banks to improve treatment of struggling small business borrowers
- FCA tells lenders to support consumers struggling with the cost of living
- FCA to consult on use of ‘side pockets’ for retail funds with exposure to sanctioned and suspended Russian assets
- FCA to introduce new Consumer Duty to drive a fundamental shift in industry mindset
- FCA to open Leeds office in September with 100 new jobs
- FCA to review competition concerns in wholesale data markets
- FCA to strengthen financial promotions rules to protect consumers
- FCA to strengthen protection of access to banking services
- FCA turns to science and music to protect public from loan fee fraud this Christmas
- FCA warns businesses to stop misleading credit adverts to protect consumers
- FCA warns Buy Now Pay Later firms about misleading adverts
- FCA, TPR and MaPS joint statement on P&O defined benefit pension schemes
- FCA’s new rules on climate-related disclosures to help investors, clients and consumers
- FCA’s work on market abuse and manipulation – update 17 June 2022
- Fighting financial crime – the force multiplier effect
- Finalising LIBOR transition – achievements in sterling markets and what remains to be done
- Finding opportunity in a world of uncertainty
- Five individuals banned and fined for causing losses to pension customers
- Former CFO and Finance Director guilty of misleading investors in case brought by the FCA, former CEO found not guilty
- Former Redcentric CFO sentenced to five and a half years imprisonment
- Funeral plan providers – list of firms not authorised from 29 July 2022
G
- Gloucestershire Credit Union Limited enters administration
- Greenlight Credit Limited (trading as Varooma) enters administration
H
- Half a million consumers paying less credit card interest following FCA intervention
- Hartley Pensions Limited – requirement to stop accepting new pension contributions
- Hartley Pensions Limited enters administration
- Heritage Pensions Limited in liquidation
- Highlights of the FCA’s new approach in 2021
- HM Treasury, CMA, FCA and PSR joint statement on Open Banking future
- How the UK will regulate for the future
I
- IFPR and eligibility for enhanced SM&CR status as a Significant SYSC firm
- Individual sentenced to four months imprisonment for contempt of court
- Information for customers of unauthorised firm BubbleXT
- Innovation & Regulation: Partners in the success of Financial Services
- Insurance brokers: serving consumers and businesses in times of uncertainty and change
- Interim chairs of FCA and PSR announced
J
- Joint statement from UK Financial Regulation Authorities on London Metal Exchange and LME Clear
- Joint statement from UK financial regulatory authorities on sanctions and the cryptoasset sector
- Jury discharged in insider dealing trial without a verdict
K
L
- Larry Barreto pleads guilty to carrying on regulated activities without authorisation
- Learning from the last 30 years to face the next
- Listening up to level up – regulating finance for the whole of the UK
N
- NatWest fined £264.8 million for anti-money laundering failures
- New Chair appointments to FCA’s Smaller Business Practitioner Panel and Consumer Panel
- New financial sanctions measures in relation to Russia
- New year delivers fairer home and motor insurance renewals
- North East Warrington Credit Union enters administration
- Notice to all FCA regulated firms with exposure to cryptoassets
- Notice to all FCA regulated firms with exposure to cryptoassets
O
- Oakam (also trading as Loal) enters administration
- Obatan LLC
- Ounapuu Ltd (formerly Ferratum UK Limited) enters a Creditors’ Voluntary Liquidation
P
- Penny James appointed Chair of the FCA’s Practitioner Panel
- PerfectHome enters administration
- PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc
R
- Rainbow Saver Anglia Credit Union Limited enters administration
- Recent statements by Binance and Eqonex Limited
- Recent statements by Bitpanda GmbH (Bitpanda)
- Restrictions placed on Colbourne & Company
- Richard Lloyd becomes Interim Chair of the FCA
- Rowanmoor Personal Pensions enters administration
S
- Safe Hands Plans withdraws application for authorisation
- Sberbank CIB (UK) Limited goes into special administration
- SD Taylor Limited (trading as ‘Loans at Home’) enters Administration
- Shaping the rules for a data-driven future
- So long LIBOR – 3 weeks to go
- Sova Capital Limited enters special administration
- Statement from Nikhil Rathi on Lord Myners
- Statement on funeral plan provider applications
- Statement on supervision of commodity derivatives position limits
- Strathkelvin Credit Union enters administration
- Supervisory flexibility on the short selling indicator
- Supporting consumers in challenging times
- Supporting consumers through tough times – priorities for credit regulation
T
- TFS Loans Limited enters administration
- The Bank of England, PRA and FCA set out potential measures to oversee critical third parties in a move to increase resilience of the financial sector
- The FCA welcomes the Secondary Capital Raising Review Report
- The FCA’s Consumer Duty will lead to a major shift in financial services
- The FCA’s second phase of reform of the Listing Rules: Increasing transparency and encouraging more market participation
U
- UK authorities look to strengthen resilience of Money Market Funds
- Update for firms on PRIIPs RTS Article 18 and related rules
- Update on the market share test under the ancillary activities exemption for commodity derivatives
- Updating our website
V
W
- Warning on illegal crypto ATMs operating in the UK
- We consult on changes to redress calculations for unsuitable pension transfer advice
- We consult on proposals aimed at improving UK equity market
- Where next for UK Market Structure
