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Investment advisers’ and authorised firms’ responsibilities when accepting business from unauthorised introducers or lead generators
This alert highlights some of the risks arising from authorised firms accepting business from unauthorised introducers/lead generators and other authorised firms. -
FX remediation programme: our next steps
We launched a remediation programme in 2014 to ensure UK foreign exchange (FX) firms addressed the root causes of failings and to drive up standards across the market. Find out how firms should respond to our findings and our next steps. -
Our commitments to firms during the authorisation process
Between 1 April 2014 and 31 March 2016, we received nearly 37,000 applications for authorisation from consumer credit firms. We aim to allocate cases as quickly as possible and have already closed 87% of these applications – 99.6% within the -
Cash savings: Sunlight remedy second report
Warning message. Revision state: Published. Most recent revision: No.. Cash savings: Sunlight remedy second report. News stories First published:. 18/07/2016. Last updated: 12/01/2026Share page. Cash savings: Sunlight remedy second report. We have -
Financial Advice Working Group established
Financial Advice Working Group established. News stories First published:. 20/06/2016. Last updated: 03/10/2016. Financial Advice Working Group established. The Financial Advice Working Group has been established in response to the recommendations -
FCA Research into the issue of de-risking
FCA Research into the issue of de-risking. News stories First published:. 24/05/2016. Last updated: 24/05/2016. Share page. FCA Research into the issue of de-risking. The FCA, along with fellow agencies and authorities, has a long-standing -
Recovery plans – initial observations
Recovery plans – initial observations. News stories First published:. 19/05/2016. Last updated: 19/05/2016. Recovery plans – initial observations. We recently assessed the compliance of firms’ recovery plans with the Recovery and Resolution -
15 month suspended sentence for director of debt management firm
15 month suspended sentence for director of debt management firm. News stories First published:. 28/04/2016. Last updated: 28/04/2016. 15 month suspended sentence for director of debt management firm. A director of three debt management firms has -
Asset Land - Information for investors
The Asset Land companies and their directors promoted and operated collective investment schemes (CIS) without FCA authorisation -
FCA website project enters its final phases
FCA website project enters its final phases. News stories First published:. 19/04/2016. Last updated: 20/04/2016. Share page. FCA website project enters its final phases. After a year of planning and extensive research with our users, we will be