Publications

Clear all
Filter results
Select year
Select date
Filter by document type

About 46 results.

  1. Assessing Suitability Review

    Multi-firm reviews Published: 18/05/2017 Last modified: 18/05/2017
    This report sets out the findings from our review into the market for pensions and investment advice.
  2. Strategic review of retail banking business models

    Multi-firm reviews Published: 11/05/2017 Last modified: 11/05/2017
    We are reviewing the business models used in the retail banking sector and evaluating the impact of changes on competition and conduct.
  3. GC17/4: Financial Advice Market Review (FAMR): implementation part I

    Guidance consultations Published: 06/04/2017 Last modified: 11/04/2017
    We are consulting on guidance intended to clarify the regulatory framework. The guidance relates specifically to 4 of the recommendations made by the Financial Advice Market Review (FAMR) in its final report.
  4. Supervision review report: Acquiring clients from other firms

    Research Published: 01/02/2017 Last modified: 01/02/2017
    We are reporting our findings of our supervision review of investment advisory firms’ practices when acquiring clients from other firms.
  5. TR16/6: Principals and their appointed representatives in the general insurance sector

    Thematic reviews Published: 22/07/2016 Last modified: 25/08/2016
    This report sets out the findings from our thematic review of principal firms and their appointed representatives in the general insurance sector. The review focused on principal firms’ understanding of their responsibilities for their appointed representatives and oversight of their activities. Why are we publishing this report? The UK general...
  6. CP15/17: Capital resources requirements for Personal Investment Firms (PIFs)

    Consultation papers Published: 28/05/2015 Last modified: 28/05/2015
    We are proposing to change the current capital resources rules for PIFs. Why are we consulting on this? Alongside the Retail Distribution Review (RDR) to improve the standards in the retail investment market, the then regulator, the Financial Services Authority (FSA), proposed new prudential requirements for personal investment firms (PIFs). These...
  7. TR15/2: Structured Products: Thematic Review of Product Development and Governance

    Thematic reviews Published: 05/03/2015 Last modified: 31/08/2016
    Our recent work in the structured products market has focused on better understanding consumer behaviour and the way that firms approach product development and governance. Structured products form an important component of the financial services industry. Products range from alternatives to cash deposits to complex investments referencing...
  8. Post-implementation review of the Retail Distribution Review - Phase 1 [pdf]

    Research Published: 16/12/2014 Last modified: 03/08/2016
  9. Retail Distribution Revew: Post Implementation Review - Europe Economics [pdf]

    Research Published: 16/12/2014 Last modified: 16/12/2014
    This is Europe Economics’ final report on the impacts of the Retail Distribution Review (RDR). This work is part of the first phase of the Financial Conduct Authority’s (FCA’s) post-implementation review (PIR) of the RDR.
  10. Impact of the Retail Distribution Review on consumer interaction with the retail investments market - A quantitative research report [pdf]

    Research Published: 16/12/2014 Last modified: 16/12/2014
    This document reports the findings of a research project carried out for the Financial Conduct Authority (FCA) in April 2014 by NMG Consulting.