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  1. FCA extends the Senior Managers and Certification Regime to 47,000 firms

    Firms News stories Published: 09/12/2019 Last modified: 09/12/2019
    FCA extends the Senior Managers and Certification Regime to 47,000 firms
  2. FCA meets firms to discuss feedback on Gabriel and improvements to new data collection platform

    News stories Published: 05/12/2019 Last modified: 05/12/2019
    Following the Gabriel user survey we launched in July 2019, we met with survey respondents who expressed interest in engaging with us on the new system
  3. Building operational resilience: impact tolerances for important business services

    Press Releases Published: 05/12/2019 Last modified: 31/03/2020
    The Bank of England (the Bank), Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have today published a shared policy summary and co-ordinated consultation papers (CPs) on new requirements to strengthen operational resilience in the financial services sector.
  4. MIFID investment firms will need to use a new form to notify FCA of management body changes for Non-SMF Directors

    News stories Published: 02/12/2019 Last modified: 02/12/2019
    MIFID investment firms will need to use a new form to notify FCA of management body changes for Non-SMF Directors
  5. Active Securities Limited enters administration

    Statements Published: 29/11/2019 Last modified: 29/11/2019
    On 29 November 2019, Active Securities Limited, trading as 247 Moneybox, was placed into administration.
  6. FCA consults on how to extend the Senior Managers Regime to benchmark administrators

    Press Releases Published: 29/11/2019 Last modified: 29/11/2019
    FCA consults on how to extend the Senior Managers Regime (SMR) to benchmark administrators
  7. FCA secures confiscation order totalling £291,070 against convicted fraudster

    Press Releases Published: 27/11/2019 Last modified: 27/11/2019
    A confiscation order of £291,070.36 was made against Mark Barry Starling in Southwark Crown Court.
  8. FCA to ban promotion of speculative mini-bonds to retail consumers

    Press Releases Published: 26/11/2019 Last modified: 26/11/2019
    The FCA has announced it will ban the mass marketing of speculative mini-bonds to retail customers.
  9. FCA fines Henderson £1.9m for fund failings

    Press Releases Published: 20/11/2019 Last modified: 24/01/2020
    The Financial Conduct Authority (FCA) has fined Henderson Investment Funds Limited (HIFL) £1,867,900 for failing to treat fairly more than 4,500 retail investors in two of its funds, Henderson Japan Enhanced Equity Fund and the Henderson North American Enhanced Equity Fund (the Japan and North American Funds). This was in contravention of...
  10. Connaught Independent Review call for information closes but investigation remains open to affected individuals

    Press Releases Published: 20/11/2019 Last modified: 20/11/2019
    Raj Parker, the Independent Reviewer into the FSA/FCA’s approach to the Connaught Income Fund Series 1, announces that the Review’s initial call for information has now closed.