Category: FCA Announcements

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FCA to quiz firms with DB permissions

30 June 2020  The FCA announced earlier this month that it will be contacting all firms who hold permission to advise on DB pension transfers and other safeguarded benefits, to request further data to allow them to continue to understand …

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Crunch time for culture issues

14 January 2019 Looking back over 2018, one of the key regulatory themes emphasised throughout was culture. The year started with what can be best described as another stain upon the reputation of the financial services industry, with the unedifying publicity …

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FCA confirms near final rules for SM & CR

26 July 2018 The Financial Conduct Authority (FCA) has published a series of papers explaining how it plans to implement the Senior Managers & Certification Regime across all sectors of the financial services industry. At present, the Regime only applies …