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  1. New features for searching the Handbook website

    News stories Published: 11/05/2017 Last modified: 11/05/2017
    We have launched new features on the Handbook website that will allow you to search by key topics within the Conduct of Business Sourcebook (COBS) – and we want your feedback.
  2. David Geale discusses competition and innovation on FinTech Insider

    News stories Published: 17/03/2017 Last modified: 17/03/2017
    David Geale, our Director of Policy, spoke to the FinTech Insider podcast about our work to promote competition and innovation through Project Innovate.
  3. Senior Managers and Certification Regime: one year on

    News stories Published: 07/03/2017 Last modified: 07/03/2017
    Today marks one year since the implementation of the Senior Managers and Certification Regime (SMCR), a range of policy changes introduced by the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) to increase individual accountability within the banking sector.
  4. FCA Statement on EMIR 1 March 2017 variation margin deadline

    News stories Published: 23/02/2017 Last modified: 23/02/2017
    The FCA welcomes the statements made by the European Supervisory Authorities and the International Organization of Securities Commissions on 23 February 2017. The new regime for variation margin may require a number of significant changes for many
  5. The FCA and the Practitioner Panel launch new joint survey for 2017

    News stories Published: 23/02/2017 Last modified: 04/04/2017
    In previous years, the Practitioner Panel has conducted a separate survey to us to understand what the industry thinks. In response to your feedback, this year we are joining forces to ask firms to complete a single survey. This will make it easier and quicker for firms to give us their views, helping us to make improvements.
  6. Operation of the MoU with the Bank of England for market infrastructure - 2016 performance statement

    News stories Published: 22/02/2017 Last modified: 22/02/2017
    Domestically, the Bank co-operates with both the Financial Conduct Authority (FCA) and Payment Systems Regulator (PSR) in relation to supervising market infrastructure and payment systems respectively. The frameworks for co-operation with these authorities are set out in memorandums of understanding which the signatories are required to review...
  7. FCA website – tell us what you think

    News stories Published: 13/02/2017 Last modified: 13/02/2017
    Please take the time to fill out this short survey on your use of
  8. 2017 fines

    News stories Published: 31/01/2017 Last modified: 07/04/2017
    This table contains information about fines published during the calendar year ending 2017. The total amount of fines so far is £163,230,322.
  9. Temporary prohibition of short selling: CTT - Correios de Portugal, S.A.

    News stories Published: 31/01/2017 Last modified: 31/01/2017
    The Financial Conduct Authority (“FCA”) notifies that it temporarily prohibits short selling in the following instrument under Articles 23 (1) and 26 (4) of Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012.  This follows a decision made by another EU Competent Authority. Details of the Financial...
  10. Pension scheme operators are at risk from smarter scams

    News stories Published: 24/01/2017 Last modified: 24/01/2017
    This alert highlights some of the risks arising from authorised firms failing to carry out appropriate due diligence on investment offerings. While aimed primarily at pension scheme operators, it will also be of interest to financial advisers and those providing discretionary fund management.