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Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]
This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation. -
Financial Advice Market Review: final report [pdf]
This report presents a series of measures aimed at stimulating the development of a market that provides affordable and accessible financial advice and guidance for everyone, at all stages of their lives. It also contains proposals designed to -
Minutes of the MiFID II implementation: Trade Association Roundtable, February 2016 [pdf]
From the meeting held on 22 February 2016. -
We welcome action taken by a number of pension providers to review and strengthen their competition compliance
As part of the retirement income market study we reviewed a number of distribution arrangements and strategies of different pension providers. -
Final notice 2016: PDHL Limited [pdf]
This final notice refers to numerous breaches of CONC Chapter 8 related to an inability to meet Threshold Condition 2D (appropriate non-financial resources) and 2E (Suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of -
The Economics of Intervention
The Economics of Intervention. Documents First published:. 10/03/2016. Last updated: 10/03/2016. The Economics of Intervention. Can policy makers better combat challenges linked to long-run issues over inefficient interventions? FCA economist Zanna -
Occasional Paper No. 13: Economics for Effective Regulation [pdf]
This paper offers assistance to regulators and other policymakers in using modern economics in an effective and proportionate way to inform decisions. -
Occasional Paper No. 13: Economics for Effective Regulation
Occasional Paper No. 13: Economics for Effective Regulation. Occasional papers FCA research First published:. 10/03/2016. Last updated: 03/06/2026Share page. Occasional Paper No. 13: Economics for Effective Regulation. This paper offers assistance -
FS16/2: Feedback Statement on Call for Input - regulatory barriers to innovation in digital and mobile solutions [pdf]
In this Feedback Statement we summarise the responses we have received to the questions set out in our June 2015 Call for Input on regulatory barriers to innovation in digital and mobile solutions, and explain the next steps we will take. -
DP16/2: CASS 7A and the Special Administration Regime Review [pdf]
This discussion paper seeks feedback on a number of aspects of the client assets regime, in particular regarding the client money distribution rules (CASS 7A) and their interaction with the Special Administration Regime (SAR).