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Financial regulators publish third edition of plan for upcoming work
The Financial Services Regulatory Initiatives Forum has issued the third edition of the Regulatory Initiatives Grid which lists upcoming work. -
The FCA and Practitioner Panel joint survey for 2021 launches
The FCA and Practitioner Panel joint survey for 2021 has launched. Regulated firms share their feedback on how the FCA regulates the industry. -
FCA secures bankruptcy of 3 individuals involved in an unauthorised share scheme
The High Court had previously ordered payment of nearly £3.62 million to those who bought shares that were promoted unlawfully -
Second consultation on new prudential regime for UK investment firms
The IFPR introduces a new prudential regime for MiFID investment firms regulated by the FCA. It will create a single, proportionate regime that reflects firms’ size and business. -
Business Loan Network Limited enters administration
On 15 April 2021, the Directors of Business Loan Network Limited, a regulated Peer-to Peer (P2P) firm, received court approval to place the firm into administration. -
FCA urges Claims Management Companies and High Cost Lenders to work better together
We remind HCLs and CMCs that we expect them to work together to resolve disputes and disagreements in the interest of their customers. -
FCA confirms Finalised Guidance for advising on Defined Benefit transfers
Defined Benefit Pension transfer guidance -
FCA publishes feedback to Call for Input on open finance
We have published a Feedback Statement to our Call for Input on open finance. -
Raedex Consortium Limited and Buy 2 Let Cars Ltd enter administration
On 19 February 2021 the FCA imposed a number of restrictions on Raedex Consortium Ltd stopping it from carrying on any regulated activities due to concerns about the way it conducts its business. -
Restrictions placed on Dolfin Financial (UK) Ltd
The FCA has imposed a number of restrictions on Dolfin Financial (UK) Ltd, stopping it from carrying on any regulated activities due to concerns about the way it conducts its business.