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The much-anticipated follow-up to the FCA’s proposals on transparency in enforcement investigations (CP 24/2) has finally landed in the...
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Here's the tl;dr of Therese Chambers' speech to an AFME conference on 24 September plus the answers to questions she fielded afterwards. ...
The FCA has written to the Treasury Select Committee explaining its supervision and investigation of Odey Asset Management and Crispin...
The FCA has given firms feedback on their Consumer Duty implementation plans. This feedback contains valuable messages for firms as they...
With Boards signing off Consumer Duty implementation plans in October, it's now time to kick off your implementation work. Many firms...
The FCA's latest annual report contains operating service metrics on its Interventions and Enforcement work. These are more comprehensive...
The power to order or encourage firms to pay redress is obviously an important part of the FCA’s toolkit when it comes to remedying...
The FCA has published it Business Plan 2022/23 and Strategy Paper for 2022-25. When it comes to the treatment of consumers, the Stratgey...
2021 was a year of contrasts when it came to the FCA's and PRA's enforcement work. On the one hand, the regulators rationalised their...
The FCA's consumer duty proposals will apply to many asset managers, but they seem to have been prepared with large-scale retail banking...
The FCA's second consultation paper on its proposed consumer duty offers some helpful clarity and narrowing of the proposals. The FCA now...
The FCA's proposed consumer duty could well bite asset managers in ways that they may not presently expect. It would apply to any firm...
We've published a podcast episode on the Netherlands' approach to non-financial misconduct and whistleblowing in financial services...
To help fintechs and challengers prepare for the FCA's proposed consumer duty, we've teased out some characteristics that many such...
The FCA is consulting on significant proposed changes to its decision-making procedure to facilitate rapid regulatory action. The...
The FCA Enforcement data released with the FCA's 2020-21 Annual Report paint a striking
picture of the FCA's responses during an...