04/20/2021
It is clear that the Financial Conduct Authority (the "FCA") is determined actively to police the regulatory perimeter – it was after all a party to proceedings in both of the cases discussed below.
04/20/2021
Today we are confirming our broad approach to assessing complaints made specifically to the FCA in relation to LCF
04/20/2021
The IFPR introduces a new prudential regime for MiFID investment firms regulated by the FCA. It will create a single, proportionate regime that reflects firms’ size and business.
04/20/2021
At that time complainants were informed of their right, if they were dissatisfied with our decision, to refer their complaint to the Office of the Complaints Commissioner.
04/20/2021
This document sets out the Terms of Reference for the Central Bank Digital Currency (CBDC) Taskforce.
04/20/2021
Post the financial crisis in 2008 you will remember that the FSA effectively brought in a "two week holiday rule".
04/20/2021
‘No fee means no business, surely?’
04/20/2021
Next-generation search warrants could gain access to suspects' device data
04/20/2021
Its other offerings serve wealth managers, retail brokers, custodians, and margin lenders, officials say.
04/20/2021
The FCA has published a statement confirming that it will publish its Business Plan in July 2021, rather than April.
04/19/2021
The FCA has stopped the firm conducting any regulated activities in the UK and has required it to close all trading positions and return the money to customers.
04/19/2021
76% said they 'lack trust towards using their banking services online'
04/19/2021
Raja has lodged a ‘complaint of victimisation’, while Starling’s defence is that Raja was going to be dismissed because her performance ‘was not good enough’, according to the preliminary hearing.
04/19/2021
ABN AMRO will continue to make every effort to fulfil its role as gatekeeper.
04/19/2021
A UWO requires an individual to explain how they acquired a particular asset.
04/19/2021
However, the majority stopped short of total anonymity, with only 1 in 10 highlighting anonymous transactions as an important feature of a digital currency.
04/19/2021
That, in turn, deepens the relationship between the adviser and the client and facilitates fruitful conversations.
04/19/2021
The consultation sets out the FCA's proposals for changing prudential standards for MiFID investment firms and should be read in conjunction with the FCA's previous consultation paper published in December 2020.
04/16/2021
‘Peak pessimism’ has passed as countries accelerate vaccine programmes, investors say
04/16/2021
Lenders are being assessed on risks arising from extreme weather and the energy transition