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Drivers & Impacts of Derisking

Published: Today   Last Modified : Today

A study of representative views and data in the UK, by John Howell & Co. Ltd. for the Financial Conduct Authority.

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Mind the gap: Consumer research exploring experiences of financial exclusion across the UK

Published: Today   Last Modified : Today

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Occasional Paper 17: Access to Financial Services in the UK

Published: Today   Last Modified : Today

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GC16/5: Proposed guidance on wind-down planning

Published: Yesterday   Last Modified : Yesterday

We propose to issue a guidance document entitled ‘The FCA’s approach to wind-down planning’, for firms to consider how they could close down their regulated business in an orderly manner, including under stressed conditions.

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Minutes of the MiFID II implementation: Trade Association Roundtable, April 2016

Published: 20/05/2016   Last Modified : 20/05/2016

From the meeting held on 25 April 2016.

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Santander UK plc: List of Regulated Covered Bonds

Published: 20/05/2016   Last Modified : Yesterday

List of Regulated Covered Bonds

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Santander UK plc: Programme Designation Attestation

Published: 20/05/2016   Last Modified : Yesterday

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Santander UK plc: Senior Management Attestation

Published: 20/05/2016   Last Modified : Yesterday

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CP16/14: UCITS V Level 2 Regulation, SFTR and consequential changes to the Handbook

Published: 19/05/2016   Last Modified : 19/05/2016

We are consulting on proposed changes to the Client Assets sourcebook (CASS) and the Collective Investment Schemes sourcebook (COLL), following the adoption of the Undertakings for Collective Investment in Transferable Securities V Level 2 Regulation (UCITS V Level 2 Regulation). We are also consulting on minor changes to SYSC and consequential amendments in COLL and the Investment Funds sourcebook (FUND) to reflect certain measures in the Securities Financing Transactions Regulation (SFTR).

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Final notice 2016: Peter Francis Johnson

Published: 19/05/2016   Last Modified : 19/05/2016

This final notice refers to breaches of APER 1, APER 4 and FIT related to failing to be open and co-operative, failing to act on information appropriately, a lack of fitness/propriety and mis-selling in the asset management sector. We imposed a public censure and prohibition.

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