Search results - Financial Conduct Authority

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Co-operation Agreement between Financial Conduct Authority (FCA) and Financial Services Commission of the Republic of Korea (FSC)

Published: 22/07/2016   Last Modified : 22/07/2016

Co-operation Agreement between Financial Conduct Authority (FCA) and Financial Services Commission of the Republic of Korea (FSC).

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FCA Second Supervisory Notice 2016: Vantage Investment Group Limited

Published: 22/07/2016   Last Modified : 22/07/2016

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Final notice 2016: Kildare Capital (UK) Limited

Published: 22/07/2016   Last Modified : 22/07/2016

This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

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Final notice 2016: Matrix Integrated Financial Solutions

Published: 22/07/2016   Last Modified : 22/07/2016

This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

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TR16/6: Principals and their appointed representatives in the general insurance sector

Published: 22/07/2016   Last Modified : 22/07/2016

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Final notice 2016: H Finnikin

Published: 21/07/2016   Last Modified : 21/07/2016

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.

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Regulation round-up - July 2016

Published: 21/07/2016   Last Modified : 21/07/2016

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TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets

Published: 21/07/2016   Last Modified : 21/07/2016

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FS16/4: Feedback Statement on Call for Input: Supporting the development and adopters of RegTech

Published: 20/07/2016   Last Modified : 22/07/2016

In this Feedback Statement we summarise the responses we have received to our RegTech Call for Input: Supporting the development and adopters of RegTech, and outline our approach to RegTech for 2016/17.

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CP16/18: Changes to Handbook disclosure rules to reflect the direct application of PRIIPs Regulation

Published: 18/07/2016   Last Modified : 18/07/2016

The current regulatory disclosure requirements applicable to retail investment firms (including investment fund managers) are detailed in the FCA Handbook. This will change on 31 December 2016 when the Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation takes effect in the European Union.

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