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What’s New 2017

Developments in UK Financial Services Regulation

2018 REGULATORY NEWS 2017 REGULATORY NEWS 2016 REGULATORY NEWS 2015 REGULATORY NEWS 2014 REGULATORY NEWS

REGULATORY NEWS 2017:

20/12/2017: PS17/28: Handbook changes to reflect the application of the EU Benchmarks Regulation
20/12/2017: FCA News Stories: FCA response to ESMA's public statement on LEIs
20/12/2017: Press Release: Defendants sentenced in FCA prosecution of £1.4 million investment scheme
19/12/2017: Press Release: FCA stops unlawful foreign exchange investment scheme
15/12/2017: Press Release: FCA publishes Feedback Statement on Distributed Ledger Technology
15/12/2017: FS17/4: Distributed Ledger Technology
15/12/2017: PS17/27: Insurance Distribution Directive implementation – Feedback to CP17/23 and near-final rules
14/12/2017: CP17/43: Credit card market study: persistent debt and earlier intervention remedies - feedback to CP17/10 and further consultation
14/12/2017: Press Release: AIM Investment Company fined for failing to disclose inside information as soon as possible
14/12/2017: Press Release: FCA publishes update on proposed new rules to help credit card customers in persistent debt and asks for further views
13/12/2017: Press Release: FCA consults on how firms and individuals will transition to the Senior Managers and Certification Regime
13/12/2017: CP17/42: The Duty of Responsibility for insurers and FCA solo-regulated firms
13/12/2017: CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime
13/12/2017: CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime
13/12/2017: FCA Statement – authorising and supervising insurance special purpose vehicles
13/12/2017: CP17/42: The Duty of Responsibility for insurers and FCA solo-regulated firms
13/12/2017: CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime
12/12/2017: PS17/26: Information about current account services
12/12/2017: Press Release: Ross Peters Sentenced for Failing to Pay Confiscation Order
12/12/2017: Press Release: FCA makes it easier for people to compare bank accounts
11/12/2017: Press Release: Six guilty in relation to £2.7m boiler room scam
11/12/2017: Press Release: FCA sets out its approach to authorisation and its approach to competition
08/12/2017: PS17/25: Policy Statement on Financial Advice Market Review Implementation Part II and Consultation on Retiring FG12/15 and FG14/1
08/12/2017: PS17/25: FAMR implementation part II and consultation on retiring FG12/15 and FG14/1
06/12/2017: FCA News Stories: Further success in reducing pension funds’ costs and charge
06/12/2017: Press Release: FCA fines Bluefin £4m for misleading customers
06/12/2017: FCA Speech: Using artificial intelligence to keep criminal funds out of the financial system
05/12/2017: FCA Speech: Effective global regulation in capital markets
05/12/2017: Press Release: FCA reveals next round of successful firms in its regulatory sandbox
04/12/2017: FCA Speech: Assessing the value of financial advice
04/12/2017: FCA News Stories: FCA action in respect of Park First Limited
02/12/2017: FCA Deadline for receiving MiFID II cross-border service passport notifications
01/12/2017: CP17/39: Quarterly Consultation Paper No. 19
01/12/2017: FCA News Stories: HBFS financial services limited
01/12/2017: FCA News Stories: Protect your pension pot from risky investments and scams
01/12/2017: Press Release: Four guilty in relation to £1.4 million investment scheme
30/11/2017: Press Release: Alex Hope charged with perverting the course of justice
29/11/2017: FCA News Stories: Consumer warning on Larksway Investments Limited
29/11/2017: Press Release: FCA issues first statement of objections to four asset management firms
29/11/2017: Press Release: Bank and FCA launch next phase of sterling Libor transition work
28/11/2017: FCA Speech: The future of competition and regulation in retail banking
28/11/2017: Press Release: FCA publishes Final Summary of RBS’s treatment of SME customers referred to its Global Restructuring Group
23/11/2017: FCA Speech: Regulatory priorities for retail banking
22/11/2017: FCA Speech: From maps to apps: the power of machine learning and artificial intelligence for regulators
22/11/2017: Press Release: FCA fines bond trader £60,000 for market abuse
20/11/2017: FCA News Stories: Temporary prohibition of short selling: Credito Valtellinese SpA
17/11/2017: FCA Speech: Cyber resilience and supplier risk: moving beyond compliance
16/11/2017: FCA News Stories: Additional events for mortgage and general insurance firms announced for Live & Local regional programme
14/11/2017: FCA News Stories: Consumer warning about the risks of investing in cryptocurrency CFDs
14/11/2017: FCA News Stories: Consumer warning about the risks of investing in binary options
14/11/2017: FCA Speech: Effective compliance with the Market Abuse Regulation – a state of mind
13/11/2017: CP17/38: Regulatory fees and levies: policy proposals for 2018/19
13/11/2017: FCA Speech: Karina McTeague speech on retail banking and payments at the PayExpo 2017
10/11/2017: Press Release: Capita Financial Managers to pay up to £66 million for the benefit of investors in the Connaught Income Fund, Series 1
08/11/2017: Press Release: FCA decides to ban Tom Hayes
08/11/2017: Press Release: FCA launches Wholesale Insurance Brokers Market Study
06/11/2017: Press Release: FCA publishes Future Approach to Consumers
03/11/2017: FCA News Stories: Considerations for Principals who have Appointed Representatives or Introducer Appointed Representatives (Ars)
03/11/2017: CP17/37: Industry Codes of Conduct and Discussion Paper on FCA Principle 5
03/11/2017: CP17/37: Consultation Paper on Industry Codes of Conduct and Discussion Paper on FCA principle 5
02/11/2017: FCA Speech: Robo Advice: an FCA perspective
01/11/2017: Press Release: The Financial Conduct Authority named as a Best Employer for Race in new listing
01/11/2017: PS17/24: Handbook changes to reflect the new regulatory framework for Insurance-Linked Securities – Feedback to CP16/34 and CP17/3 and near-final rules
30/10/2017: CP17/36: Reviewing the funding of the Financial Services Compensation Scheme (FSCS): feedback from CP16/42, final rules, and new proposals for consultation
30/10/2017: FCA Speech: The art of thinking independently together – why the regulator cares about diversity
30/10/2017: Press Release: FCA publishes data on progress toward diversity targets and gender pay gap
27/10/2017: FG17/9: Guidance for firms on how to calculate redress for unsuitable defined benefit pension transfers
27/10/2017: CP17/35: Recovering the costs of the Office for Professional Body Anti-Money Laundering Supervision (OPBAS): fees proposals
27/10/2017: FG17/9: Summary of feedback received
26/10/2017: PS17/22: Review of the Effectiveness of Primary Markets: Enhancements to the Listing Regime
26/10/2017: PS17/23: Reforming the availability of the information in the UK equity IPO process
26/10/2017: FS17/3: Feedback Statement to DP17/2 Review of the Effectiveness of Primary Markets: the UK Primary Markets Landscape
26/10/2017: Press Release: FCA reforms to enhance the effectiveness of UK primary markets
25/10/2017: Press Release: FCA urges public to report and speak out against fraudulent investment schemes
24/10/2017: Press Release: Rent-to-own provider BrightHouse to provide over £14.8 million in redress to around 249,000 customers
24/10/2017: FCA Speech: Competition in the asset management industry: UK experiences, global implications
23/10/2017: Press Release: FCA fines Merrill Lynch £34.5 million for failing to report transactions
23/10/2017: Press Release: FCA bans debt management couple for misappropriating client money
23/10/2017: Press Release: Update on the FCA’s review of RBS’s treatment of SME customers referred to its Global Restructuring Group
23/10/2017: Press Release: New FCA complaints data: 3.32 million complaints about financial services in the first six months of 2017
20/10/2017: Press Release: Financial Conduct Authority outlines lessons learned in year one of its Regulatory Sandbox
19/10/2017: FCA News Stories: Review of debt management sector gets underway
18/10/2017: Press Release: FCA reveals findings from its first Financial Lives Survey
17/10/2017: Press Release: Rio Tinto plc fined £27m for breaching Disclosure and Transparency Rules
16/10/2017: Press Release: FCA launches the Asset Management Authorisation Hub
16/10/2017: FCA Speech: Ageing population and financial services
12/10/2017: Press Release: FCA fines and bans wife and bans husband financial advisor for lack of integrity
04/10/2017: FCA Speech: Challenges for the regulator - consumer credit, long-term savings and an ageing population
03/10/2017: PRA CP18/17, FCA CP17/34: Occasional Consultation Paper
03/10/2017: CP17/34: Joint PRA and FCA form, PRA Rulebook, and FCA Handbook changes - MiFID II, IDD and BMR amendments
03/10/2017: FCA News Stories: Our work on Defined Benefit Pension Transfers
- -/10/2017: Submission Deadline: First annual submission notifying breaches of the Conduct Rules including other staff who are not within the Senior Managers Regime or Certification Regime
29/09/2017: FCA Speech: Andrew Bailey speech on Free Trade in Financial Services matters
28/09/2017: FCA Speech: Where next for investment and asset management regulation?
28/09/2017: FG17/8: Streamlined advice and consolidated guidance
28/09/2017: FG17/8: Summary of feedback received
28/09/2017: FG17/8: Streamlined advice and consolidated guidance
25/09/2017: CP17/33: Insurance Distribution Directive Implementation – Consultation Paper 3
25/09/2017: PS17/21: Insurance Distribution Directive implementation – Feedback to CP17/7 and near-final rules
21/09/2017: Press Release: FCA and Hong Kong Insurance Authority sign Fintech co-operation agreement
21/09/2017: Press Release: FCA publishes findings from the Ageing Population Project
20/09/2017: PS17/20: Transaction cost disclosure in workplace pensions
19/09/2017: PS17/19: Implementation of the revised Payment Services Directive (PSD2) : Approach Document and final Handbook changes
19/09/2017: Payment Services and Electronic Money – Our Approach
19/09/2017: PS17/19: Implementation of the revised Payment Services Directive (PSD2)
20/09/2017: FCA Speech: A Better View
20/09/2017: FCA Speech: Culture and conduct - extending the accountability regime
19/09/2017: Press Release: FCA finalises revised Payment Services Directive (PSD2) requirements
18/09/2017: FCA News Stories: MiFID II: authorisation and variation of permissions
14/09/2017: Press Release: FCA makes Market Investigation Reference for investment consultancy services
13/09/2017: FCA News Stories: Extension of temporary restriction in short selling: Liberbank, S.A
01/09/2017: FCA News stories: Buy As You View – enters administration
01/09/2017: CP17/32: Quarterly Consultation Paper No. 18
31/08/2017: FG17/7: Primary Market Bulletin No. 18
31/08/2017: GC17/8: Primary Market Bulletin No. 18
29/08/2017: Press Release: FCA starts countdown to PPI complaints deadline with advertising campaign featuring Arnold Schwarzenegger
17/08/2017: CP17/31: Market Infrastructure Providers - 2017/18 fee rates
16/08/2017: FCA News stories: Our supervisory approach to PPI
09/08/2017: Press Release: Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network
03/08/2017: FCA News stories: Our mortgage research: a message for respondents
03/08/2017: Press Release: The FCA and the FCA Practitioner Panel publish the findings from their joint survey of industry views
03/08/2017: FCA Speech: Overview of competition at the FCA
01/08/2017: CP17/29: Client money and unbreakable deposits
01/08/2017: CP17/28: Financial Advice Market Review (FAMR): implementation Part II and insistent clients
31/07/2017: FS17/2: High-cost credit
31/07/2017: CP17/27: Assessing creditworthiness in consumer credit
31/07/2017: CP17/27: Summary of research findings
31/07/2017: FS17/2: Technical Annex
31/07/2017: CP17/27: Assessing creditworthiness in consumer credit
31/07/2017: FS17/2: High-cost credit and review of the high-cost short-term credit price cap
31/07/2017: FCA News stories: Our work on motor finance
31/07/2017: Press Release: Financial Conduct Authority sets out agenda and priorities for consumer credit
31/07/2017: FCA deadline for MiFID II establishment passport notifications
27/07/2017: Press Release: Lloyds Banking Group sets up redress scheme for mortgage arrears customers
27/07/2017: FCA Speech: The future of LIBOR
26/07/2017: Press Release: Maggie Craig appointed as Head of Department, Scotland
26/07/2017: Press Release: FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms
26/07/2017: CP17/25: Individual accountability - extending the Senior Managers and Certification Regime to all FCA firms
26/07/2017: CP17/26: Individual accountability - extending the Senior Managers and Certification Regime to insurers
25/07/2017: CP17/24: Information about current account services
25/07/2017: PS17/18: CASS 7A and the special administration regime review
25/07/2017: FCA News stories: MiFID II: applications received after 3 July 2017
25/07/2017: Press Release: FCA to consult on new rules for current account providers to publish information on service and performance
24/07/2017: Press Release: FCA seeks views regarding the Office for Professional Body Anti-Money Laundering Supervision
24/07/2017: Press Release: FCA secures £350,000 confiscation order against convicted insider dealer
24/07/2017: CP17/23: Insurance Distribution Directive implementation – Consultation Paper II
24/07/2017: GC17/7: Proposed guidance on a sourcebook for professional body supervisors on anti-money laundering supervision
24/07/2017: PS17/27: Insurance Distribution Directive implementation – Feedback to CP17/23 and near-final rules
21/07/2017: PS17/16: Regulatory reporting - retirement income data
20/07/2017: FCA News stories: General insurance events announced for Live & Local regional programme
19/07/2017: FCA News stories: Non-bank payment service providers to gain access to settlement accounts at the Bank of England
17/07/2017: Closing date for comments on DP17/3 (Distributed Ledger Technology)
17/07/2017: Press Release: FCA sets out scope of Investment Platforms Market Study
14/07/2017: Press Release: FCA fines compliance oversight officer for pension transfer failings
13/07/2017: CP17/21: Proposal to create a new premium listing category for sovereign controlled companies
13/07/2017: CP17/22: Revised Payment Services Directive (PSD2) implementation: draft authorisation and reporting forms
13/07/2017: Press Release: FCA proposes new premium listing category for sovereign-controlled companies
13/07/2017: Effective today: SFTR (Disclosure requirements re: fund’s pre-contractual documents to managers of funds constituted before 12/01/2016)
12/07/2017: Press Release: FCA publishes interim findings of study into retirement income market
11/07/2017: Closing date for comments on GC17/4 (FAMR: sections 2, 3 and 5: streamlined advice, fact find and the factsheet for employers and trustees.
06/07/2017: FG17/6: Summary of feedback received
06/07/2017: FG17/6: The treatment of politically exposed persons for anti-money laundering purposes
06/07/2017: FCA News stories: Elite Insurance Company ceases writing new business
06/07/2017: FCA Speech: Why free trade and open markets in financial services matter
05/07/2017: Press Release: FCA publishes annual report and accounts 2016/17
04/07/2017: Press Release: FCA publishes proposals on staff incentives and performance management in consumer credit firms
04/07/2017: CP17/20: Staff incentives, remuneration and performance management in consumer credit
03/07/2017: PS17/15: FCA regulated fees and levies 2017/18
03/07/2017: PS17/14: Markets in Financial Instruments Directive II implementation – Policy Statement II
03/07/2017: CP17/19: Markets in Financial Instruments Directive II Implementation – Consultation Paper VI
03/07/2017: FCA deadline for MiFID II Data reporting services providers (DRSPs) applying for authorisation, (with the exception of a non-equity CTP where firms should apply for authorisation by March 2019)
03/07/2017: FCA deadline for MiFID II Investments firms applying for authorisation or a variation of permission
30/06/2017: Press Release: New Chairs of the Financial Conduct Authority’s Practitioner Panel and Markets Practitioner Panel announced today
30/06/2017: Press Release: FCA announces the names of firms who have participated in the Advice Unit and publishes the FAMR baseline report
30/06/2017: Effective today: PIFs Capital Adequacy Rules - additional minimum capital increase for majority of B3 firms
30/06/2017: FCA News stories: Information request to with-profits firms
29/06/2017: FCA Speech: Andrew Bailey speech on retail banking in the UK - reflections from the FCA
28/06/2017: Press Release: FCA publishes final report into asset management sector
28/06/2017: CP17/18: Consultation on implementing asset management market study remedies and changes to Handbook
28/06/2017: PS18/8: Implementing asset management market study remedies and changes to our Handbook – feedback to CP17/18 and final rules
27/06/2017: PS17/13: Investment and corporate banking: prohibition of restrictive contractual clauses
26/06/2017: Effective today: The 4th Money Laundering Directive
23/06/2017: FCA Speech: Improving access to insurance
22/06/2017: CP17/17: Handbook changes to reflect the application of the EU Benchmarks Regulation
22/06/2017: PS17/28: Handbook changes to reflect the application of the EU Benchmarks Regulation
21/06/2017: CP17/16: Advising on Pension Transfers
21/06/2017: Press Release: FCA proposes changes to advice on pension transfers
20/06/2017: Press Release: FCA asks for feedback on consumer access to insurance
19/06/2017: FCA News stories: MiFID II: applications for permissions needed now
16/06/2017: Press Release: Two charged with insider dealing
16/06/2017: Press Release: Admiral agrees to contact customers who may have been given inaccurate information in renewal documents
15/06/2017: FCA Speech: Our investigations – the evolving approach
15/06/2017: Press Release: Financial Conduct Authority provides update on regulatory sandbox
15/06/2017: FCA News Stories: Our Live & Local regional programme returns
12/06/2017: CP17/15: Powers in relation to LIBOR contributions
12/06/2017: CP17/14: Quarterly Consultation Paper No. 17
12/06/2017: CP17/13: Fourth money laundering directive and fund transfer regulation implementation (DEPP and EG)
12/06/2017: FCA News Stories: Temporary restriction in short selling: Liberbank, S.A
31/05/2017: Submission Deadline: First CRS Reports due to HMRC by Financial Institutions relating to 2016 calendar year
26/05/2017: PS17/12: Implementing information prompts in the annuity market
24/05/2017: Press Release: FCA secures eight confiscation orders totalling almost £2.2 million
23/05/2017: Closing date for comments on GC17/4 (FAMR: section 4 non-advised services)
17/05/2017: Press Release: Strand Capital Limited enters administration
15/05/2017: GC17/5: Proposed guidance on our approach to the review of Part VII insurance business transfers
14/05/2017: Closing date for comments on CP17/4 (Review of the effectiveness of primary markets)
14/05/2017: Closing date for comments on DP17/2 (Review of the effectiveness of primary markets)
12/05/2017: Press Release: FCA and SFC sign Fintech co-operation agreement
11/05/2017: FCA Speech: Competition and innovation in financial services: the regulator’s perspective
11/05/2017: FCA News Stories: New features for searching the Handbook website
09/05/2017: PS17/11: Review of appropriate qualification exam standards
03/05/2017: PS17/10: Remuneration in CRD IV firms
03/05/2017: PS17/9: Guidance on the duty of responsibility
03/05/2017: PS17/7: Whistleblowing in UK branches of foreign banks
03/05/2017: Frequently asked questions on remuneration: Remuneration Codes (SYSC 19A and 19D)
03/05/2017: PS17/8: Applying conduct rules to all non-executive directors in the banking and insurance sectors
02/05/2017: PS17/6: Disclosure rules following application of PRIIPs Regulation
02/05/2017: Final Notice 2017: Ashby Sales
02/05/2017: Final Notice 2017: Padraig Keenan
02/05/2017: Final Notice 2017: JT Commercials
02/05/2017: Final Notice 2017: Gokcek Limited
02/05/2017: Final Notice 2017: Andre Fridmann
02/05/2017: Final Notice 2017: Mohammed Khalid
02/05/2017: Final Notice 2017: Janice Maureen Tomlinson
02/05/2017: Final Notice 2017: Dale (83) Limited
02/05/2017: Final Notice 2017: HRS (Luton) Limited
02/05/2017: PS17/6: Disclosure rules following application of PRIIPs Regulation
28/04/2017: Handbook Notice No.43
26/04/2017: FCA Speech: The FCA's regional FinTech engagement
26/04/2017: Press Release: Financial Conduct Authority publishes first set of data under new complaints rules
25/04/2017: Press Release: FCA Board appoints new members to the Regulatory Decisions Committee
25/04/2017: Press Release: FCA Board appoints new members to the Regulatory Decisions Committee
24/04/2017: Closing date for comments on CP17/2 (CASS: All proposals except those in relation to EMIR and MiFIR RTS)
24/04/2017: FCA Speech: "Expect the unexpected" - cyber security - 2017 and beyond
24/04/2017: FG17/4: Summary of feedback received
24/04/2017: FG17/4: The fair treatment of mortgage customers in payment shortfall: impact of automatic capitalisations
18/04/2017: FS17/1: Our Mission 2017
18/04/2017: CP17/12: FCA Regulated fees and levies: rates proposals 2017/18
18/04/2017: FCA Speech: Andrew Bailey speech at press conference for the publication of FCA corporate documents
18/04/2017: Press Release: The FCA publishes its Mission and Business Plan
18/04/2017: Closing date for comments on GC17/2 (Treatment of PEPs)
13/04/2017: CP17/11: Implementation of the revised Payment Services Directive (PSD2)
13/04/2017: CP17/11: Draft: Payment Services and Electronic Money – Our Approach
12/04/2017: Occasional Paper 26: From advert to action - behavioural insights into the advertising of financial products
12/04/2017: Occasional Paper No. 26: Infographic
12/04/2017: Occasional Paper No. 26: From advert to action: behavioural insights into the advertising of financial products
12/04/2017: Closing date for HM Treasury Consultation on new Money Laundering Regulations 2017
11/04/2017: GC17/4: Financial Advice Market Review (FAMR): implementation part I
10/04/2017: FCA Speech: Innovating for the future: the next phase of Project Innovate
10/04/2017: DP17/3: Discussion Paper on distributed ledger technology
07/04/2017: Press Release: FCA bans and fines two individuals for market abuse
07/04/2017: Press Release: Statement on the Financial Conduct Authority’s enforcement investigation into issues relating to HBOS Reading
06/04/2017: GC17/4: Financial Advice Market Review (FAMR): implementation part I
03/04/2017: FCA Speech: The expanding scope of individual accountability for corporate misconduct
03/04/2017: Press Release: FCA proposes new rules for credit card firms to help millions of customers get out of persistent debt
03/04/2017: CP17/10 infographic: Proposed package of remedies
03/04/2017: CP17/10 infographic: Helping customers in persistent debt
03/04/2017: Final Notice 2017: Gareth McCrone
03/04/2017: CP17/10: Credit card market study: consultation on persistent debt and earlier intervention remedies
03/04/2017: CP17/10: Consultation on persistent debt and earlier intervention remedies
01/04/2017: Effective today: Firms to make the necessary changes to their renewal communications by today (PS16/21: General insurance markets)
31/03/2017: Press Release: FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation
31/03/2017: Effective today: PS16/24 Capping early exit pension charges for applicable firms
31/03/2017: PS17/5: Markets in Financial Instruments Directive II implementation – Policy Statement I
31/03/2017: CP17/8: Markets in Financial Instruments Directive II Implementation – Consultation Paper V
31/03/2017: Final Notice 2017: Ann Burke
31/03/2017: Final Notice 2017: Stephen Moore
31/03/2017: Final Notice 2017: Reuben Cunningham
31/03/2017: Final Notice 2017: Home Systems AV LLP
31/03/2017: Final Notice 2017: Central Auto Care Ltd
31/03/2017: Handbook Notice 42
31/03/2017: CP17/9: PSR regulatory fees 2017/18
30/03/2017: Press Release: FCA fines former investment banker for sharing confidential information over WhatsApp
30/03/2017: FCA Speech: Keeping up with the credit sector: the FCA’s view on the market today
30/03/2017: Guidance Consultation - UKLA Procedural Note 911.1 - Substitution of issuer of debt securities
30/03/2017: Final Notice 2017: Christopher Niehaus
30/03/2017: FG17/3: Primary Market Bulletin No. 17
29/03/2017: Primary Market Bulletin Issue 17
29/03/2017: Guidance Consultation - UKLA Technical Note 543.3 - Shareholder obligations
29/03/2017: Guidance Consultation - UKLA Technical Note 701.3 - Identifying and managing conflicts
29/03/2017: Final Notice 2017: Philip Gee
29/03/2017: Final Notice 2017: Ashton Patterson
29/03/2017: Final Notice 2017: David Stephen Hancock
29/03/2017: Final Notice: Philip Gee
29/03/2017: Final Notice: Ashton Patterson
29/03/2017: Final Notice: David Stephen Hancock
28/03/2017: Press Release: Tesco to pay redress for market abuse
28/03/2017: Final Notice: Tesco Plc
23/03/2017: Impact assessment: Strengthening the alignment between risk and reward – remuneration rules for the banking sector
23/03/2017: Impact assessment: Retirement income data requests
23/03/2017: Impact assessment: Wind-down planning guidance
23/03/2017: Impact assessment: Changes to the unfair terms legislation sections of the Handbook
23/03/2017: Press Release: New Chair of the FCA’s Smaller Business Practitioner Panel Announced
22/03/2017: Final notice: Healthy Homes Clean Air Limited
22/03/2017: Final Notice: Lakeside Window Systems Limited
21/03/2017: FCA Statement: Fake FCA Emails
21/03/2017: Press Release: Nick Stace appointed as Non Executive Director
17/03/2017: FCA News Stories: David Geale discusses competition and innovation on FinTech Insider
16/03/2017: GC17/2: Treatment of politically exposed persons (PEPs) under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
16/03/2017: FCA Speech: Culture in financial institutions: it’s everywhere and nowhere
14/03/2017: Final Notice: Swift Transfer Limited
14/03/2017: Final Notice: Stuart Watkins Cars
14/03/2017: Final Notice: Nazia Naweed Shah
14/03/2017: Final Notice: Jonathan David Lee
13/03/2017: Final Notice: Reliable Runners Limited
13/03/2017: Final Notice: Amjad Motors Limited
13/03/2017: Closing date for comments on CP16/41: (MLAR)
10/03/2017: GC17/1: Changes to the way firms calculate redress for unsuitable defined benefit pension transfers
10/03/2017: FCA Speech: The view from the regulator: developing our approach
10/03/2017: Press Release: FCA publishes update to pension redress methodology
09/03/2017: Press Release: Financial regulators of Japan and UK announce Exchange of Letters on Co-operation Framework to support innovative FinTech companies
07/03/2017: Closing date for comments on CP16/40 (Conduct of Rules for CFD providers)
07/03/2017: Effective today: SMR: New regulatory reference rules take effect (PS16/22)
07/03/2017: Effective today: Individual Accountability: Conduct Rules will apply to ‘other staff' who are not within the SMR or Certification Regime
07/03/2017: FCA News Stories: Senior Managers and Certification Regime: one year on
07/03/2017: PS17/4: Handbook changes to reflect the introduction of the Lifetime ISA
06/03/2017: CP17/7: Insurance Distribution Directive Implementation – Consultation Paper I
06/03/2017: Press Release: FCA publishes Insurance Distribution Directive consultation
03/03/2017: Final Notice 2017: Alan Swift
03/03/2017: Final Notice 2017: Steven Brady
03/03/2017: Final Notice 2017: Jake Vickers
03/03/2017: Final Notice 2017: Andrew Maher
03/03/2017: Final Notice 2017: Lyndon Alun Davies
03/03/2017: Final Notice 2017: Juceff & Co Trading Limited
03/03/2017: FCA News Stories: Firms continue to fail to meet our expectations on their use of dealing commission
03/03/2017: FCA News Stories: Investment managers still failing to ensure effective oversight of best execution
03/03/2017: CP17/6: Quarterly Consultation Paper No. 16
02/03/2017: Final Notice 2017: LCA Glasgow Photography Limited
02/03/2017: Final Notice 2017: Homeworx Building Contractors Limited
02/03/2017: Final Notice 2017: Finance Made Simple Ltd
02/03/2017: PS17/3: Payment protection insurance complaints
02/03/2017: PS17/3: Payment protection insurance complaints: feedback on CP16/20 and final rules and guidance
02/03/2017: Press Release: FCA finalise plans to place a deadline on PPI complaints
01/03/2017: Press Release: Inside the mind of a scammer: FCA reveals the tactics investment fraudsters use to deceive over 55s
01/03/2017: FCA Speech: Efficiency and effectiveness: our approach to primary markets
01/03/2017: Press Release: FCA proposes reforms to the availability of information in the UK equity IPO process
01/03/2017: CP17/5: Reforming the availability of information in the UK equity IPO process
28/02/2017: FCA Correspondence: The FCA’s expectations of firms that operate a loan-based crowdfunding platform which facilitates loans to lending businesses
28/02/2017: Final Notice 2017: Stuart Graham
28/02/2017: Final Notice 2017: Steven Paul Billing
28/02/2017: Final Notice 2017: John Abbott
28/02/2017: Final Notice 2017: Autocity (Scotland) Limited
27/02/2017: Final Notice 2017: GM Contracts Limited
27/02/2017: Final Notice 2017: The Encore Trading Company Limited
27/02/2017: FG17/2: The Financial Policy Committee’s recommendation on loan to income ratios in mortgage lending: General guidance
27/02/2017: FG17/2: The Financial Policy Committee’s recommendation on loan to income ratios in mortgage lending
24/02/2017: PS17/2: Changes to DTR 2.5: delay in the disclosure of inside information
24/02/2017: Handbook Notice 41
24/02/2017: Closing date for comments on CP16/36 (Regulatory reporting: retirement income data)
24/02/2017: Closing date for comments on CP16/37 (Implementing information prompts in the annuity market)
23/02/2017: Closing date for comments on CP17/2 (CASS: EMIR and MiFIR RTS proposals)
23/02/2017: Closing date for comments on PRA CP4216 (Insurance Special Purpose Vehicles (ISPVs) & Insurance Linked Securities (ILS) business)
23/02/2017: FCA News Stories: FCA Statement on EMIR 1 March 2017 variation margin deadline
23/02/2017: FCA News Stories: The FCA and the Practitioner Panel launch new joint survey for 2017
23/02/2017: Regulation Round-up special issue - February 2017
23/02/2017: Press Release: FCA publishes new data on trends in the retirement income market
22/02/2017: Press Release: FCA and OSC sign Co-operation Agreement to support innovative businesses
22/02/2017: FCA News Stories: Operation of the MoU with the Bank of England for market infrastructure - 2016 performance statement
21/02/2017: Final Notice 2017: Glen Eagleson
21/02/2017: Final Notice 2017: John Wilkinson
21/02/2017: Final Notice 2017: XYZ Agencies Limited
21/02/2017: Final notice 2017: Bishop Car Sales Limited
20/02/2017: Closing date for comments on MS15/2.2 (Asset Management Interim Report)
20/02/2017: Final Notice 2017: Yasmin Khan
20/02/2017: Final Notice 2017: James Pollock
20/02/2017: Final Notice 2017: Alan Norman Gregson
17/02/2017: Press Release: Express Gifts Ltd enters into £12.5m redress scheme
17/02/2017: Closing date for comments on CP16/43 (MiFID II all except FEES)
16/02/2017: Regulation round-up February 2017
15/02/2017: FCA Insight: New evidence on liquidity in the UK corporate bond market
15/02/2017: DP17/2: Review of the Effectiveness of Primary Markets: The UK Primary Markets Landscape
14/02/2017: Press Release: FCA reviews effectiveness of UK primary capital markets
14/02/2017: CP17/4: Review of the Effectiveness of Primary Markets: Enhancements to the Listing Regime
14/02/2017: FCA Speech: What makes good conduct regulation?
08/02/2017: Press Release: FCA opens discussion on regulatory approach to open-ended funds investing in illiquid assets
08/02/2017: DP17/1: Illiquid assets and open-ended investment funds
07/02/2017: Final Notice 2017: Pager Services Ltd
07/02/2017: Final notice 2017: CW Interiors Limited
07/02/2017: Final Notice 2017: Dr Saim Köksal trading as Arcis Management Consultancy
06/02/2017: Final Notice 2017: Steven Maoudis trading as Montana Debt Management
03/02/2017: Final Notice 2017: David Stanley Mather
02/02/2017: Final Notice 2017: John Green
02/02/2017: Final Notice 2017: Michael Fern
02/02/2017: Final Notice 2017: Jordanne Moy
02/02/2017: Final Notice 2017: Mark Leaper
02/02/2017: Final Notice 2017: Royston Motors
02/02/2017: Final Notice 2017: Lee Paul Fishwick
02/02/2017: Final Notice 2017: Michael Wilkinson Mortgages (trading as Michael Wilkinson)
01/02/2017: Press Release: FCA and PRA publish final changes to enhance enforcement decision-making processes
01/02/2017: PS17/1: Implementation of the Enforcement Review and the Green Report
31/01/2017: Press Release: Temporary prohibition of short selling: CTT - Correios de Portugal, S.A.
31/01/2017: Press Release: FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings
31/01/2017: FCA News: 2017 fines
31/01/2017: CP17/3: Proposed Handbook changes to reflect the new regulatory framework for Insurance Linked Securities
30/01/2017: Effective today: FCA MiFID II Gateway Opens - Accepting applications for MiFID II Authorisation and Variation of Permissions (VoP)
30/01/2017: Handbook Notice: Direction under section 55U and section 60 and related provisions of the Financial Services and Markets Act 2000
26/01/2017: Handbook Notice 40
26/01/2017: Press Release: Free trade in financial services and global regulatory standards: friends not rivals
26/01/2017: FCA Regulation round-up January 2017
25/01/2017: FCA Speech: Beyond economics?
25/01/2017: Press Release: Financial Conduct Authority publishes general insurance value measures scorecard
25/01/2017: Closing date for comments on CP16/32 (Lifetime ISA Handbook Changes)
24/01/2017: Press Release: Pension scheme operators are at risk from smarter scams
24/01/2017: Press Release: Advising on pension transfers – our expectations
23/01/2017: CP17/2: CASS 7A and the special administration regime review
31/01/2017: Final Notice 2017: Deutsche Bank
27/01/2017: Final notice 2017: Eco Home Alternatives Limited
25/01/2017: Final Notice 2017: Christopher Pickerill
25/01/2017: Final Notice 2017: Baildon Motor Company
25/01/2017: Final Notice 2017: Matt-Pack Limited
24/01/2017: Final Notice 2017: Nigel Thomas
24/01/2017: Final Notice 2017: Reuben Anderson
23/01/2017: CP17/2: CASS 7A and the special administration regime review
20/01/2017: Final Notice 2017: Notion Capital Managers LLP
20/01/2017: Press Release: HSBC voluntarily agrees to provide approximately £4m redress for historical debt collection practices
20/01/2017: Press Release: Temporary prohibition of short selling: Banco Comercial Português, S.A.
19/01/2017: FCA Speech: Practical implications of US law on EU practice
19/01/2017: FCA Statement: The Financial Conduct Authority achieves 58th place in Stonewall’s Top 100 Employers 2017 rankings
19/01/2017: FG 17/1: Guarantor loans: default notices
18/01/2017: Closing date for comments on GC16/6 (Fair Treatment of Mortgage Customers)
16/01/2017: CP17/1: Financial Services Compensation Scheme (FSCS) – management expenses levy limit 2017/18
16/01/2017: Closing date for comments on CP16/43 (MiFID II FEES)
16/01/2017: Closing date for comments on CP16/33 (Regulatory Fees & Levies)
13/01/2017: Effective today: SFTR (Disclosure requirements re: fund’s periodic reports to investors)
13/01/2017: Closing date for comments on CP16/39 (Quarterly Consultation Chapter 2)
09/01/2017: Closing date for comments on DP16/4 (SMR: Overall responsibility and the legal function)
09/01/2017: Closing date for comments on CP16/27 (Conduct Rules for Non-executive Directors)
09/01/2017: Closing date for comments on CP16/26 (SMR - Duty of Responsibility)
09/01/2017: Closing date for comments on CP16/25 (Whistleblowing in Foreign Branches)
09/01/2017: Final Notice - Sujeel Ranjha: Cancellation imposed for breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector.
06/01/2017: Closing date for comments on CP16/38 (Delay in Disclosure of Inside Information)
05/01/2017: Final Notice - Afzal Ali: Cancellation imposed for breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector.
05/01/2017: Final Notice – Christopher James Gocher: Cancellation imposed for breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector.
05/01/2017: Final Notice – North Nottinghamshire College: Cancellation imposed for breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector.
05/01/2017: Final Notice – Eco Solutions (UK) Limited: Cancellation imposed for breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector.
05/01/2017: Final Notice – One Call Vehicle Leasing Southwest Limited: Cancellation imposed for breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector
05/01/2017: Press Release: Fake FCA emails
04/01/2017: Closing date for comments on CP16/29 (MiFID II Investor Protections)
04/01/2017: Closing date for comments on CP16/30 (Transaction disclosure in workplace pensions)
04/01/2017: Final Notice: Howard Coles
04/01/2017: Final Notice: Sterling Bathrooms Limited
04/01/2017: Final Notice: Michael James Automotive Limited
04/01/2017: Final Notice: Swiss Watch Trading Limited
03/01/2017: Final Notice: Mymoneyman Finance Limited
03/01/2017: Press Release: Our future Mission: key themes from your feedback
02/01/2017: Closing date for comments on CP16/39 (Quarterly Consultation Chapter 6)
01/01/2017: Effective today: New rules on deferral and clawback come into force for performance years starting on or after today (New Remuneration Rules)

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