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PS17/20: Transaction cost disclosure in workplace pensions
This Policy Statement (PS) sets out rules and guidance to improve the disclosure of transaction costs in workplace Defined Contribution (DC) pensions. It standardises the calculation of the transaction costs incurred by these pension investments. -
Final Notice: Wingfield Financial Heritage Limited [pdf]
This final notice refers to breaches PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Overall responsibility and the legal function: DP16/4 [pdf]
We are launching a discussion to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime. -
CP16/29: Markets in Financial Instruments Directive II implementation – Consultation Paper III [pdf]
We are consulting on our third set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook. -
FS16/8: Senior Managers and Certification Regime: Feedback for branches of banks from within the European Economic Area [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
FS16/7: Senior Managers and Certification Regime: Feedback for branches of banks from outside the European Economic Area [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
FS16/6: Senior Managers and Certification Regime: Feedback for all UK banks, investment firms and building societies [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
FS16/9: Senior Managers and Certification Regime: Feedback for Credit Unions [pdf]
We are reporting the findings of our in-depth supervisory review of the Statements of Responsibilities (SoRs) and responsibilities maps supplied with grandfathering notifications for firms. -
CP16/28: Remuneration in CRD IV firms:new guidance and changes to Handbook [pdf]
We are consulting on proposals to help firms understand the rules that apply to their remuneration policies and practices, as we bring some of our provisions in line with the European Banking Authority (EBA) Guidelines on sound remuneration policies -
CP16/27: Applying conduct rules to all non-executive directors in the banking and insurance sectors [pdf]
We are consulting on applying our Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (relevant authorised persons - RAPs) and insurance