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Brexit and beyond
Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit. -
What can the consumer credit sector expect from the FCA?
Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London. -
FCA puts the spotlight on debt management firms
The Financial Conduct Authority (FCA) has today published its second thematic review of the debt management sector, looking at commercial and not-for-profit firms that provide debt advice and administer debt management plans to help customers deal -
Money laundering and supervising trusted professionals
OPBAS one year on report, highlights supervision and money laundering awareness failings and sets out ways to improve standards. -
Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit
Market participants can be assured of the continuity of derivatives trading and clearing activities between the UK and US, after the UK’s withdrawal from the EU, following this joint statement by the Bank of England including the Prudential -
FCA issues its first decision under competition law
The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers. -
Market abuse requires a dynamic response to a changing risk profile
Taking a step back, firms should also consider who in their institution is able to access inside information outside of specific deal teams. ... We observe firms taking comfort from the perception that ‘others are also failing’ in the same way that -
FCA fines former fund manager Paul Stephany
The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing. -
Manraj Virdee sentenced to 2 years for illegally operating an investment scheme and fraud
In a case brought by the Financial Conduct Authority (FCA), Manraj Virdee was yesterday sentenced at Southwark Crown Court to a 2 year prison sentence suspended for 2 years and he was further ordered to carry out 300 hours of unpaid work in the -
FCA and PSR Boards appoint new members to decision-making committees
Competition Decisions Committee and Enforcement Decisions Committee (EDC). ... These three committees are responsible for taking certain competition law and regulatory decisions when a settlement cannot be reached.