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Primary Market Bulletin Issue No. 30
In this special edition, we publish general news and information, including changes to our Knowledge Base. -
FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence -
Sustainability
the Senior Managers and Certified Persons Regimes. ... The new regime will increase accountability of individuals in positions of responsibility and raise standards of governance. -
Leading the Way on Regulation
Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019. -
Our approach to supervision
Our approach to supervision sets out how we carry out our regulatory oversight. It is designed to help firms, consumers and markets understand how we work, and fulfil our accountability to Parliament and to the public. -
Service standards 2019/20
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2019/20. -
Regulatory Sandbox
The Regulatory Sandbox allows firms to test innovative propositions in the market with real consumers. It’s open for applications at any point throughout the year. -
Confidence to crisis and back
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the IOSCO conference in London. This is the text of the speech as drafted, which may differ from the delivered version. -
Information on open FCA enforcement investigations - December 2020
The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020. -
Outlining the FCA’s approach to authorisation
Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference.