- Technology’s impact on financial inclusion is not what you think
Data dictionary · 15 December 2022
Leora Klapper’s article analyzes the role of digital technology in expanding financial inclusion in developing economies. While mobile money services have been crucial in regions like Sub-Saharan…
- FCA one year on – effective regulation goes hand-in-hand with sustainable businesses
Speech · 11 May 2014
In his 2014 speech to the Building Societies Association, Clive Adamson, then-Director of Supervision at the FCA, argued that effective regulation and sustainable business practices are fundamentally…
- Financial Conduct Authority‘s Project Innovate celebrates first anniversary with plans for ‘regulatory sandbox’
News · 10 November 2015
In late 2015, the FCA announced the first blueprints for its "regulatory sandbox," an ambitious extension of Project Innovate designed to allow businesses to test groundbreaking financial products…
- The UK Financial Conduct Authority and the US Securities and Exchange Commission sign updated supervisory cooperation arrangements
News · 29 March 2019
In early 2019, the FCA and the US SEC proactively updated two critical Memoranda of Understanding (MoUs) to ensure that the multi-billion dollar financial services trade between the UK and the US…
- 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 2013, the Financial Services Authority (FSA) published the findings of a major mystery shopping exercise conducted across the retail banking sector to evaluate the quality of lump-sum investment…
- British and Australian regulators strengthen cooperation on FinTech through Enhanced Cooperation Agreement
News · 21 March 2018
The Financial Conduct Authority and Australian Securities and Investments Commission strengthened their FinTech collaboration through an Enhanced Cooperation Agreement, expanding support for…
- FCA opens discussion on regulatory approach to open-ended funds investing in illiquid assets
News · 8 February 2017
In early 2017, the FCA published a discussion paper addressing the structural challenges of open-ended funds that invest in illiquid assets, such as real estate, infrastructure, and unlisted…
- FCA Independent Directors Appoint External Law Firm and Publish Terms of Reference
News · 7 April 2014
The Non-Executive Directors of the Financial Conduct Authority (FCA) have appointed Simon Davis, a senior partner at Clifford Chance, to lead an independent inquiry into the regulator’s handling of a…
- OPBAS finds improvements needed amongst anti-money laundering supervisors
News · 22 September 2024
The Office for Professional Body Anti-Money Laundering Supervision (OPBAS), housed within the FCA, has released its fifth report revealing persistent inconsistencies in the effectiveness of…
- FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms
News · 25 July 2017
The Financial Conduct Authority (FCA) has unveiled proposals to extend the Senior Managers and Certification Regime (SM&CR) to nearly all regulated financial services firms in the UK. This regulatory…
- Building the UK financial sector’s operational resilience discussion paper
News · 4 July 2018
The Financial Conduct Authority (FCA), in collaboration with the Bank of England and the PRA, has released a joint discussion paper (DP 18/4) aimed at bolstering the operational resilience of the UK…
- Information on regulatory gateway for approval of financial promotions - September 2024
Standard or Guidance · 12 September 2024
The Freedom of Information release from September 2024 provides a detailed look at how the FCA is tightening the "regulatory gateway," specifically regarding the approval of financial promotions and…
- FCA restricts Direct Trading Technologies from carrying out regulated activities
News · 5 February 2025
The Financial Conduct Authority (FCA) has imposed urgent restrictions on Direct Trading Technologies (DTT), effectively halting its ability to conduct regulated activities and freezing its assets to…
- FCA launches call for input on the use of technology to achieve smarter regulatory reporting
News · 20 February 2018
In early 2018, the FCA launched a call for input to explore how technology could revolutionize regulatory reporting, aiming to reduce the administrative burden on firms while improving data quality.…
- Andrew Bailey speech at press conference for the publication of FCA corporate documents
Speech · 27 April 2017
In his 2017 address, Andrew Bailey, then-Chief Executive of the Financial Conduct Authority (FCA), introduced a landmark suite of corporate documents designed to define the regulator's core mission…
- Co-operation Agreement between the Financial Conduct Authority and the Hong Kong Monetary Authority
News · 7 December 2016
In late 2016, the Financial Conduct Authority and the Hong Kong Monetary Authority entered into a landmark Co-operation Agreement designed to accelerate financial innovation in both the United…
- Joint statement from FCA, PRA and Bank of England on the government’s proposed amendments to the CCP run-off regime
News · 25 May 2023
In 2023, the FCA, PRA, and the Bank of England issued a joint statement supporting the UK government’s proposed amendments to the Central Counterparty (CCP) run-off regime. This coordinated effort…
- FCA publishes the Swift Review into the supervisory intervention on interest rate hedging products
News · 14 December 2021
In late 2021, the FCA published the "Swift Review," an independent investigation led by John Swift QC into the FSA’s 2012 intervention regarding the mis-selling of interest rate hedging products…
- FCA and PRA publish final changes to enhance enforcement decision-making processes
News · 1 February 2017
In 2017, the FCA and PRA published a joint Policy Statement outlining fundamental reforms to their enforcement decision-making processes, aimed at increasing transparency and fairness. These changes…
- FCA agrees MoUs with ESMA and EU regulators to allow cooperation and exchange of information
News · 1 February 2019
In early 2019, the FCA reached a landmark agreement with the European Securities and Markets Authority (ESMA) and EU national regulators to establish a framework for continued cooperation following…
- FCA discussion paper calls on firms to deliver smarter, effective communications
News · 24 June 2015
The Financial Conduct Authority (FCA) has launched a discussion paper titled "Smarter Consumer Communications," urging financial firms to move away from overly technical and lengthy disclosures. The…
- Financial regulators of Japan and UK announce Exchange of Letters on Co-operation Framework to support innovative FinTech companies
News · 9 March 2017
The Financial Conduct Authority (FCA) and the Financial Services Agency of Japan (JFSA) have formalised a Co-operation Framework through an Exchange of Letters to foster FinTech innovation. This…
- FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures
News · 20 November 2014
The Financial Conduct Authority (FCA), in its first joint enforcement action with the Prudential Regulation Authority (PRA), has fined the RBS Group (including NatWest and Ulster Bank) £42 million…
- FCA appoints executive directors to co-lead Enforcement and Market Oversight
News · 23 March 2023
The Financial Conduct Authority (FCA) has appointed Therese Chambers and Steve Smart as joint Executive Directors to lead its Enforcement and Market Oversight division. This strategic leadership…
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