Publications
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Slides from NEDs roundtable discussion - Prudential Risk Governance [pdf]
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Non-advised drawdown pension sales review: summary of findings
The FCA presents a summary of its findings from its assessment on whether firms are providing necessary information in a way that helps customers make informed decisions when accessing retirement benefits. -
FG18/2: Staff incentives, remuneration and performance management in consumer credit firms [pdf]
This FCA final guidance sets out how consumer credit firms should manage risks related to how they pay and manage the performance of their staff. -
PS18/7: Staff incentives, remuneration and performance management in consumer credit – Feedback to CP17/20 and final rules [pdf]
The FCA responds to feedback arising from CP17/20 and it sets final rules for staff incentives, remuneration and performance management in consumer credit firms. -
FG18/2: Staff incentives, remuneration and performance management in consumer credit firms
The FCA sets final guidance on how consumer credit firms should manage risks related to how they pay and manage the performance of their staff. -
PS18/7: Staff incentives, remuneration and performance management in consumer credit firms
This FCA Policy Statement responds to feedback arising from CP17/20 and it sets final rules for staff incentives, remuneration and performance management in consumer credit firms. -
FG18/5: Guidance on financial crime systems and controls: insider dealing and market manipulation
We are consulting on changes to the Financial Crime Guide for firms, proposing to add a chapter on insider dealing and market manipulation and make miscellaneous changes as a result of recent regulatory changes to ensure the guide remains up to date. -
Final Notice 2018: Alexander David Osborne Stuart [pdf]
This final notice refers to breaches of APER 1 and FIT relating to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition. -
PS18/6 Advising on Pension Transfers [pdf]
The FCA has published rules and guidance on how advice should be provided to consumers on pension transfers where consumers are considering giving up safeguarded benefits, primarily for transfers from defined benefit to defined contribution pension -
CP18/7: Improving the quality of pension transfer advice [pdf]
This Consultation Paper follows on from our recent publications on advising on pension transfers: in particular, CP17/16 and PS18/6.