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Regulation round-up August 2017 [pdf]
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CP17/31: Market Infrastructure Providers - 2017/18 fee rates [pdf]
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CP17/31: Market infrastructure providers - 2017/18 fee rates
We are consulting on the setting of our 2017/18 periodic fee rates for market infrastructure providers. -
History of PPI regulation [pdf]
This timeline shows some of the work we have done on PPI – including research and supervision, consultations with stakeholders, and taking action like fines – before introducing a deadline for PPI complaints. -
Warning notice statement 17/5 – Firm [pdf]
The Financial Conduct Authority (the FCA) gave Interactive Brokers (UK) Ltd (IBUK) a warning notice on 25 July 2017 proposing to take action in respect of the conduct summarised in this statement. -
Final Notice 2017: Samsara Nepal Financial Services Limited [pdf]
This final notice refers to a failure to demonstrate a willingness to comply with regulatory obligations, and to deal with the Authority in an open and co-operative way in the payment services sector. To protect the interests of consumers, we -
Final Notice 2017: Insulating Windows [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Occasional Paper 30 [pdf]
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Annual Public Meeting 2017: Outstanding questions [pdf]
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Occasional Paper No. 30: Best buys and own brands: investment platforms’ recommendations of funds
In this paper, we examine the drivers, impact, and performance of investment platforms’ best buy lists.