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IFPR and eligibility for enhanced SM&CR status as a Significant SYSC firm
The FCA clarify the definition of ’Significant SYSC firm’ and eligibility for Enhanced Status under the SM&CR regime -
FCA encourages market participants to continue transition of LIBOR-linked bonds
Action for issuers and bondholders of outstanding LIBOR-linked bonds. -
Larry Barreto pleads guilty to carrying on regulated activities without authorisation
On 29 July 2022 at Southwark Crown Court, Mr Larry Barreto pleaded guilty to two counts of carrying on regulated activities without authorisation. -
FCA appoints new Director of International
The FCA has appointed Ruairi O’Connell, OBE, as the FCA’s new Director of International. -
FCA fines Sir Christopher Gent for disclosing inside information
The Financial Conduct Authority (FCA) has fined Sir Christopher Gent, former non-executive Chairman of ConvaTec Group Plc, £80,000 for unlawfully disclosing inside information. -
FCA confirms new rules to improve oversight of Appointed Representatives
Our new rules to make authorised financial firms more responsible for their appointed representatives (ARs). -
FCA to open Leeds office in September with 100 new jobs
The FCA will be opening an office in Leeds later this year, and will be recruiting to fill more than 100 new roles based in Leeds. -
FCA clamps down on marketing of high-risk investments to consumers
We have finalised stronger rules to help tackle misleading adverts that encourage investing in high-risk products. -
FCA regulation boosts consumer protection in the funeral plans market
The FCA is authorising 26 providers. These firms hold approximately 1.6 million plans, which make up 87% of the market. -
FCA publishes Decision Notices for Carillion plc (in liquidation) and three of its former executive directors
The FCA has imposed a public censure on Carillion, rather than a financial penalty, given the firm is insolvent and in liquidation