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FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions
The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR). -
FCA consults on new rules to improve open-ended property fund structures
The FCA is consulting on proposals to reduce the potential for harm to investors from the liquidity mismatch in open-ended property funds. The new rules as proposed would require investors to give notice – potentially of up to 180 days - before -
Letter from the Chairman to the Chief Ombudsman on application for certification under the Alternative Dispute Resolution (ADR) Directive
which the person issues the notice under paragraph (c) except that, in the case of a highly complex dispute, the person may extend this period but must inform the parties of ... At the Oversight Committee meeting, we discussed the requirement to publish -
FCA statement on onshoring ESMA’s temporary intervention measures on retail CFD and binary options products
The European Securities and Markets Authority’s (ESMA) temporary intervention measures prohibiting binary options and restricting contract for difference products (CFDs) sold to retail clients will become part of UK domestic law on exit day as -
Productive finance working group publishes recommendations addressing the barriers to investment in less liquid assets
The Productive Finance Working Group has today published a series of recommendations which could facilitate greater investment in longer-term, less liquid assets. The Group is industry led, co-chaired by the Governor of the Bank, the Chief Executive -
CP20/15: Liquidity mismatch in authorised open-ended property funds
We are consulting on measures to address the potential harm caused by a mismatch in liquidity in certain UK authorised funds that invest directly in property, for example offices, shops and warehouses. -
CP15/34: Regulatory fees and levies: policy proposals for 2016/17
We are proposing to:. create a free-standing FCA fees handbook, separate from the PRA handbook (at the moment the two handbooks are linked). ... We will consider your feedback and publish a Policy Statement with final rules and guidance. -
CP20/16: Debt advice levy rates for 2020/21 – additional funding
We are consulting on the rates at which we propose to charge our levies for the additional amount of funding for debt advice notified to us by Her Majesty’s Treasury (the Treasury) and the Department for Work and Pensions (DWP) in 2020/21. -
FCA response to the independent panels’ annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports. -
FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches
Final Notice SEI Investments (Europe) Limited. ... The consultation closed on 11 October 2013, and we expect to publish final rules in the first half of 2014.