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Regulatory Initiatives Grid - November 2023 Excel version [xlsx]
The Excel version of the seventh edition of the grid is produced by the Financial Services Regulatory Initiatives Forum. -
Financial Services Regulatory Initiatives Forum - Minutes: November 2023 [pdf]
Financial Services Regulatory Initiatives Forum meeting minutes November 2023. The forum is made up of representatives of the Bank of England, Financial Conduct Authority, Prudential Regulation Authority, Payment Systems Regulator, the Competition -
CP23/24: Capital deduction for redress: personal investment firms [pdf]
We highlighted the rising cost of FSCS compensation caused by financial advice firms. This rise in FSCS costs has led to criticism from some firms and trade bodies that the levy is unsustainable and that it represents our failure to prevent harm. -
FCA Smaller Business Practitioner Panel: Vacancy for a Panel Member from the consumer credit sector [pdf]
FCA Smaller Business Practitioner Panel: Vacancy for a Panel Member from the consumer credit sector. -
Capital deduction for redress: personal investment firms [pdf]
Our Dear CEO letter as part of our consultation. -
CP23/24: Capital deduction for redress: personal investment firms
We are consulting on proposals to require personal investment firms (PIFs) to be more prudent and set aside capital for potential redress liabilities at an early stage -
Notice of Decision to Cancel 2023: Trenton Law Limited [pdf]
“This decision notice refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to payment of charges owed to the FCA. We imposed a cancellation.”. -
GC23/3: Guidance on the Anti-Greenwashing rule [pdf]
We are consulting on new guidance that sets out our expectations for any FCA authorised firm that makes claims about the sustainability of a product or service. -
PS23/16: Sustainability Disclosure Requirements (SDR) and investment labels [pdf]
This Policy Statement (PS) contains our final rules and guidance to improve trust and transparency to the market for sustainable investment products. -
Notice of Decision 2023: Surrey Auto Group Limited [pdf]
“This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation”.