- FCA publishes Decision Notice against former Worldspreads CEO for market misconduct
News · 2 July 2020
The Financial Conduct Authority (FCA) has issued a Decision Notice against Conor Foley, the former CEO of Worldspreads, imposing a £658,900 fine and a permanent ban from the financial services…
- FCA publishes second consultation paper on the Markets in Financial Instruments Directive II implementation
Standard or Guidance · 28 July 2016
The Financial Conduct Authority (FCA) has released its second consultation paper (CP16/19) regarding the implementation of MiFID II in the United Kingdom. This sweeping regulatory overhaul, effective…
- Surveillance: The FCA's expectations and toolkits
Speech · 6 October 2014
In this speech, Patrick Spens, Head of Market Monitoring at the Financial Conduct Authority emphasizes that tackling market abuse is a core priority requiring strong collaboration between regulators…
- Andrew Bailey keynote speech on MiFID II at the European Independent Research Providers Association
Speech · 25 February 2019
In this 2019 speech, then-FCA Chief Executive Andrew Bailey evaluates the early impact of MiFID II reforms on the investment research market, specifically focusing on the transition from "bundled"…
- Regulatory co-operation between the UK and US: now and in the future
Speech · 10 June 2019
In this 2019 address in New York City, Nausicaa Delfas, then Executive Director of International, emphasized the systemic importance of the UK-US regulatory relationship. As the world’s two largest…
- The FCA’s second phase of reform of the Listing Rules: Increasing transparency and encouraging more market participation
Speech · 14 June 2022
In June 2022, Clare Cole, the FCA’s Director of Market Oversight, delivered a pivotal speech detailing the second phase of the Primary Markets Effectiveness Review. She argued that the UK’s listing…
- FCA statement on the reporting of derivatives under the UK EMIR regime in a no-deal scenario
News · 11 March 2019
In 2019, the Financial Conduct Authority (FCA) issued a comprehensive statement detailing the reporting requirements for derivatives under the UK EMIR regime in the event of a no-deal Brexit. This…
- FSA publishes the results of a mystery shopping review into the quality of investment advice in banks and building societies
News · 13 February 2013
In February 2013, the Financial Services Authority (FSA) published the results of a major mystery shopping review into the quality of investment advice provided by banks and building societies. This…
- Securitisation Regulation: PRA and FCA joint statement on reporting of private securitisations
Standard or Guidance · 20 December 2018
In December 2018, the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) issued a joint statement clarifying the reporting requirements for "private" securitisations.…
- FCA proposes reforms to the availability of information in the UK equity IPO process
News · 10 April 2024
The Financial Conduct Authority (FCA) has proposed reforms to improve the availability, timing, and quality of information provided to investors during the UK equity initial public offering (IPO)…
- Enhancing the UK’s capital markets – The FCA’s role and priorities
Speech · 28 February 2022
In her speech at the Future of UK Financial Regulation Summit, Sarah Pritchard outlined the FCA's vision to become a data-led, outcomes-focused regulator. She discussed the Future Regulatory…
- International policy and commodities markets regulation
Standard or Guidance · 21 April 2016
The regulation of commodities markets has undergone a fundamental transformation, shifting from a niche area of oversight to a central pillar of global financial stability. Following the 2008…
- Statement on supervision of commodity derivatives position limits
Standard or Guidance · 20 December 2021
This statement sets out the supervisory approach of the Financial Conduct Authority (FCA) regarding commodity derivatives position limits under the MiFID markets regime following the end of the EU…
- Benchmarks
Standard or Guidance · 4 December 2014
This page provides an overview of benchmark regulation in the UK under the UK Benchmarks Regulation (UK BMR), which originated from the EU Benchmarks Regulation (BMR) that came into full effect on 1…
- Meeting the challenge in our changing global markets
Speech · 5 December 2025
In this keynote speech delivered at the UK Finance and EY conference, Sarah Pritchard, Executive Director at the FCA, outlines a strategic vision for maintaining the UK’s status as a premier global…
- FCA Enforcement and the Wholesale Markets
Speech · 26 November 2014
In November 2014, Tracey McDermott, then-Director of Enforcement at the FCA, delivered a keynote address at the FX Week Europe conference emphasizing the urgent need to restore trust and integrity to…
- UK Securities Financing Transactions Regulation (UK SFTR)
Standard or Guidance · 11 March 2020
The UK Securities Financing Transactions Regulation (UK SFTR) is a regulatory framework designed to increase transparency and monitor systemic risks within the securities financing markets.…
- Simon M Potter: The role of best practices in supporting market integrity and effectiveness
Speech · 11 September 2016
In this 2016 address to primary dealers, Simon M. Potter, then-Executive Vice President of the New York Fed, details the critical role that industry-led "best practices" play in maintaining the…
- François Villeroy de Galhau: Innovation and change
Speech · 19 January 2016
In this strategic address at the Annual Exchange Conference, François Villeroy de Galhau addresses the critical need for the French and European economies to transition from a debt-heavy financing…
- Loi M Bakani: The future of credit unions given the global regulatory trends
Speech · 6 November 2014
Speech by Mr Loi M Bakani, Governor of the Bank of Papua New Guinea, at the Pacific Credit Union Technical Congress 2014, Port Moresby, 6 November 2014.The views expressed in this speech are those of…
- Basel Committee and IOSCO issue near-final proposal on margin requirements for non-centrally-cleared derivatives
Standard or Guidance · 15 February 2013
This 2013 consultative paper represents a critical milestone in the global regulatory reform of the Over-the-Counter (OTC) derivatives market, led by the Basel Committee and IOSCO. The "near-final"…
- Margin requirements for non-centrally-cleared derivatives - consultative document issued BCBS and IOSCO
Standard or Guidance · 5 July 2012
This 2012 consultative document marks a critical turning point in the post-crisis G20 derivatives reform agenda. While earlier measures focused on moving standardized over-the-counter (OTC)…
- Margin requirements for non-centrally cleared derivatives
Standard or Guidance · 1 September 2013
This landmark framework mandates that all financial firms and systemically important non-financial entities exchange initial margin (IM) and variation margin (VM) for derivatives not cleared through…
- Survey of disclosures about trading and derivatives activities
Standard or Guidance · 6 November 1997
This 1997 joint survey by the BCBS and IOSCO represents a milestone in the "transparency revolution" within the global financial system. Conducted during the era of the Asian Financial Crisis, it…
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