Publications
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Co-operation Agreement between Financial Conduct Authority (FCA) and Hong Kong Insurance Authority (IA) [pdf]
Co-operation Agreement between Financial Conduct Authority (FCA) and Hong Kong Insurance Authority (IA). -
The Ageing Population: Coping Mechanisms and Third Party Access [pdf]
The research that informed this report was commissioned to understand the practical steps that older people and their carers take to manage their access to retail banking services . It aimed to give a complete picture of their experience in setting -
Final Notice: Norcounty Insurance Services Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the general insurance and protection and investment adviser sectors. We imposed a cancellation. -
Ageing population and financial services
In September 2017, we published our Occasional Paper, outlining the findings from a project that explored how the ageing population would impact the financial services industry. -
Institutional Disclosure Working Group: Summary of discussion 7 September 2017 [pdf]
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Final Notice 2017: Adam Lancelot [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the Investment Adviser sector. We imposed a prohibition. -
PS17/20: Transaction cost disclosure in workplace pensions [pdf]
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Adroddiad a Chyfrifon Blynyddol 2016/17 [pdf]
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Final Notice 2017: Charles Palmer [pdf]
This final notice refers to breaches of APER 6 and FIT related to appointed representatives/ networks, culture/governance, lack of fitness/propriety and unfair treatment of customers in the Investment Adviser sector. We imposed a fine and prohibition -
Final Notice 2017: Stephen Alan Fox [pdf]
This final notice refers to a breach of FIT relating to a lack of fitness/propriety in the general insurance and protection sector. We imposed a prohibition.