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Financial promotions data 2023
The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for 1 January 2023 to 31 December 2023. -
Primary Market Bulletin 46
This edition covers Article 10 UK MAR and ESG stewardship and TCFD-aligned disclosures: sponsor procedures. -
The Evolution of the Mortgage Market
And so today I will:. Make a few observations on what life looks like almost one year on from the MMR and some of the challenges still facing the industry. ... Highlight the major changes as a result of the Mortgage Credit Directive – particularly in -
Robo Advice: an FCA perspective
Speech by Bob Ferguson, Head of Department, Strategy & Competition Division, FCA -
Good conduct and market integrity
Speech by Martin Wheatley, CEO, the FCA, at the General Insurance conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA publishes 2016/17 Business Plan
Tracey McDermott, acting Chief Executive of the FCA said:. 'It is our job to make markets work well. ... extend the Senior Managers and Certification Regime to all FSMA firms, supervising the major UK FICC benchmarks and launching the 'Regulatory Sandbox' -
Apply to become a consumer investments firm
Find out how to apply to the FCA for authorisation if you're a consumer investments firm, such as a financial adviser or investment platform. -
Internal investigations by firms
Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ -
Apply to be a registered AIFM
Learn how to apply to us to be a small registered Alternative Investment Fund Manager (AIFM), including SEF and RVECA managers. -
The risks of token regulation
Speech by Charles Randell, Chair of the FCA and PSR, to the Cambridge International Symposium on Economic Crime