United Kingdom
Monitoring 1 agencies with 32 regulations tracked.
The FCA fined and permanently banned Paul Taylor, former CEO of an asset management firm, £489,000 for making misleading statements and falsifying documents - including fabricating a claim of owning a...
The FCA added ClearScore, Modulr, Teya, Urban Jungle and Zilch - spanning credit information, payments, consumer finance and insurtech - to its Scale-up Unit, which gives high-growth, FCA solo-regulat...
The FCA launched a new Application Programming Interface (API) giving firms and technology vendors direct, machine-readable access to FCA Handbook data, intended to support faster and more efficient c...
The FCA published Policy Statement PS26/16, amending COBS 11A.1.4R to remove the 7-day 'blackout' waiting period that previously separated publication of an approved registration document or prospectu...
The FCA published final rules reforming the UK's MiFIR-derived transaction reporting regime, cutting the number of required data fields from 65 to 52 and restricting scope to UK-tradeable instruments ...
The FCA published a consultation paper (CP26/30) addressing equity market transparency requirements and market structure, following on from its confirmed framework for a UK equity Consolidated Tape co...
The FCA published findings from its review of how firms monitor and evidence customer outcomes under the Consumer Duty, setting out examples of good and poor practice. The report is intended to help f...
The FCA published findings from a review of financial crime systems and controls at firms in the asset management and alternative investments sector, highlighting gaps in areas such as customer due di...
The FCA published CP26/28, proposing a three-tier, NAV-based prudential regime for alternative investment fund managers (AIFMs): Small (under £750m), Medium (£750m-£5bn) and Large (over £5bn), each wi...
The FCA published CP26/26, introducing FRAME, a new fund regulatory reporting framework structured around 'Essential' and 'Enhanced' reporting tiers based on a £500 million net asset value threshold. ...