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Final notice 2016: W H Ireland Limited [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction. -
DP16/1: Ageing population and financial services [pdf]
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Final notice 2016: Cross Keys Estate & Finance Limited [pdf]
This final notice refers to breaches of COND and TC related to Threshold Conditions and lack of fitness and propriety in the Consumer Credit sector. We imposed a refusal. -
GC16/2: Proposal to issue guidance on the FCA’s view of enforcing security under the Consumer Credit Act 1974 [pdf]
We invite views on the proposal to issue guidance, which explains how we will interpret provisions of the Consumer Credit Act 1974 (CCA) regarding the enforcement of security in relation to a regulated credit agreement or a regulated consumer hire -
Conference agenda and speakers' biographies [pdf]
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TR16/1: Assessing suitability: Research and due diligence of products and services [pdf]
Assessing suitability: Research and due diligence of products and services. -
TR16/1: Assessing suitability: Research and due diligence of products and services
Thematic review of the research and due diligence processes carried out by advisory firms on the products and services they recommend to retail clients. -
GC16/2: Proposal to issue guidance on the FCA’s view of enforcing security under the Consumer Credit Act 1974
GC16/2: Proposal to issue guidance on the FCA’s view of enforcing security under the Consumer Credit Act 1974. Guidance consultations First published:. 19/02/2016. Last updated: 29/02/2016. Share page. GC16/2: Proposal to issue guidance on the -
Regulation round-up - February 2016 [pdf]
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Minutes of the MiFID II implementation: trading venue roundtable, February 2016 [pdf]
From the meeting held on 5 February 2016