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Information on consumer duty - February 2024
FCA provides information on consumer duty - February 2024 -
Information on Cum-Ex investigaciones - February 2024
FCA provides information on Cum-Ex investigaciones. -
Notice of Decision 2024: Letcare Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activity. We imposed a Cancellation. -
Consumer Duty firm survey – Autumn 2023
In Autumn 2023, Ipsos UK conducted a second survey with 634 firms not surveyed previously. The FCA wanted to examine how its additional engagement had helped firms prepare for the Consumer Duty. -
Consumer Duty firm survey results Autumn 2023 [pdf]
The second of 3 waves of quantitative tracking research on monitoring firms’ progress and challenges to implementing the Consumer Duty. This wave, taking place 6 months after wave 1, focuses on compliance and action taken in response to the Duty. -
Consumer Duty implementation: good practice and areas for improvement
What firms are doing well and what they could do better. -
Notice of Decision to Cancel 2024: Found Estates [pdf]
This decision notice refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to payment of charges owed to the FCA. We imposed a cancellation. -
Notice of Decision to Cancel 2024: Glass Legal Limited [pdf]
This decision notice refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to payment of charges owed to the FCA. We imposed a cancellation. -
Final Notice 2024: Clint Canning (AKA Christian Beauchamp AKA Clint Foster) [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Notice of Decision to Cancel 2024: Maguire Card Limited [pdf]
This decision notice refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to payment of charges owed to the FCA. We imposed a cancellation.