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CP21/15: BENCHMARKS REGULATION: HOW WE PROPOSE TO USE OUR Read CP21/15 (PDF) Why we are consulting. We are seeking views on how we propose using two new powers relating to the use of critical benchmarks that are being wound down. FINANCIAL LIVES SURVEY Financial Lives is the FCA's flagship nationally representative survey of UK consumers. It provides information about consumers’ attitudes towards managing their money, the financial products they have and their experiences of engaging with financial services firms. CP21/12: A NEW AUTHORISED FUND REGIME FOR INVESTING IN Online response form. We are seeking feedback on this CP by 25 June 2021. You can use the response form email us at cp21-12@fca.org.uk or write to us at: Michael Collins and Tom Bramhill, Financial Conduct Authority, 12 Endeavour Square, London E20 1JN. WEBINARS - FCA WEBINARS FCA regulation for funeral plan intermediaries March 26, 2021 01:30 PM (Europe/London). FCA regulation for funeral plan providers - an AOP PROFESSIONAL ADVANCE GROUP PLC (CLONE OF FCA AOP Professional Advance Group Plc (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to FINANCIAL CONDUCT AUTHORITY The Financial Conduct Authority is the conduct regulator for 58,000 financial services firms and financial markets in the UK and the prudential regulator for over 24,000 of those firms. FINANCIAL SERVICES REGISTER CP21/13: A NEW CONSUMER DUTY CP21/13: A new Consumer Duty. We are consulting on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards consumers. A link to the full consultation paper (CP21/13) is provided below, and this page summarises our proposals. REGDATA | FCASEE MORE ON FCA.ORG.UK CP21/11: THE STRONGER NUDGE TO PENSIONS GUIDANCE We are asking for comments on this Consultation Paper by 29 June 2021. You can send them to us using the online response form on our website. Or in writing to: Jai Shah. Financial Conduct Authority. 12 Endeavour Square. London E20 1JN. Telephone: 020 7066 7418. Email:cp21-11@fca.org.uk.
CP21/15: BENCHMARKS REGULATION: HOW WE PROPOSE TO USE OUR Read CP21/15 (PDF) Why we are consulting. We are seeking views on how we propose using two new powers relating to the use of critical benchmarks that are being wound down. FINANCIAL LIVES SURVEY Financial Lives is the FCA's flagship nationally representative survey of UK consumers. It provides information about consumers’ attitudes towards managing their money, the financial products they have and their experiences of engaging with financial services firms. CP21/12: A NEW AUTHORISED FUND REGIME FOR INVESTING IN Online response form. We are seeking feedback on this CP by 25 June 2021. You can use the response form email us at cp21-12@fca.org.uk or write to us at: Michael Collins and Tom Bramhill, Financial Conduct Authority, 12 Endeavour Square, London E20 1JN. WEBINARS - FCA WEBINARS FCA regulation for funeral plan intermediaries March 26, 2021 01:30 PM (Europe/London). FCA regulation for funeral plan providers - an AOP PROFESSIONAL ADVANCE GROUP PLC (CLONE OF FCA AOP Professional Advance Group Plc (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how toFCA INSIGHT
Gender, personal finances and Covid-19. In the latest article based on data from the FCA’s Financial Lives survey, Insight authors examine gender and personal finance. How does gender map onto the use of financial products and services? And has the Covid-19 crisis Multipleauthors.
OPERATIONAL RESILIENCE Operational resilience is the ability of firms, financial market infrastructures and the financial sector as a whole to prevent, adapt and respond to, recover and learn from operational disruption. By 31 March 2022, relevant firms must identify their important business services, set impact tolerances and carry out necessary mapping and testing to enable them to do so. CLIMATE-RELATED REPORTING REQUIREMENTS Climate-related reporting requirements. First published: 23/04/2021 Last updated: 23/04/2021. Find out more about our TCFD-aligned reporting requirements, which companies and firms fall in scope of the rules, and our plans for extending the requirements. Financial markets rely on good disclosures to inform asset pricing and capitalallocation.
LOGIN - FINANCIAL SERVICES AUTHORITY Online Invoicing is the FCA’s “one-stop shop” fees portal. 95% of our firms now use this paperless service which reduces our environmental impact and ensures the FCA has an efficient and effective fees invoicing and collection process. Firms have direct access to their fees account to FG21/3: ADVISING ON PENSION TRANSFERS FG21/3: Advising on pension transfers. Finalised guidance First published: 30/03/2021 Last updated: 30/03/2021. This Finalised Guidance (FG) provides non-Handbook guidance to help advisers understand our expectations when advising on pension transfers and conversions. Read FG21/3 (PDF) GUIDANCE FOR FIRMS ON THE FAIR TREATMENT OF VULNERABLE Guidance for firms on the fair treatment of vulnerable customers. Our Guidance highlights the actions firms should take to understand the needs of vulnerable customers to make sure they are treated fairly. Protecting vulnerable consumers is a key focus for us and is more important than ever due to the impact of coronavirus (Covid-19). CALL FOR INPUT: PENSIONS CONSUMER JOURNEY Evidence shows that consumers often fail to make the most of their pensions. We want to understand consumer behaviour at key points in the pension saving journey to improve pension outcomes. This involves identifying the best points at which to offer savers support, who is best placed to provide that support, and how this can be done. PS21/3 BUILDING OPERATIONAL RESILIENCE Show PS21/3 (PDF) Why we are changing our rules. In December 2019, we consulted – in CP19/32 – on proposed changes to how firms approach their operational resilience. We developed these proposals in partnership with the Bank of England – in its capacity of supervising financial market infrastructures (FMIs) – and the Prudential Regulation Authority (PRA) to improve the operational REGULATORY INITIATIVES GRID The Financial Services Regulatory Initiatives Forum was launched to strengthen coordination between members. It is made up of representatives of the Bank of England, Financial Conduct Authority, Prudential Regulation Authority, Payment Systems Regulation and the Competition and Markets Authority, with HM Treasury as an observermember.
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Changes to Connect. When you log in, you’ll notice a new and improved look and feel to Connect. We’re keen for your feedback on these changes, so please use the feedback function within Connect to let us know what you think. As part of the FCA's commitment to data protection, our continuous improvement programme is currentlyimplementing
FINANCIAL CONDUCT AUTHORITY The Financial Conduct Authority is the conduct regulator for 58,000 financial services firms and financial markets in the UK and the prudential regulator for over 24,000 of those firms. FINANCIAL SERVICES REGISTER CP21/13: A NEW CONSUMER DUTY CP21/13: A new Consumer Duty. We are consulting on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards consumers. A link to the full consultation paper (CP21/13) is provided below, and this page summarises our proposals. REGDATA | FCASEE MORE ON FCA.ORG.UK CP21/11: THE STRONGER NUDGE TO PENSIONS GUIDANCE We are asking for comments on this Consultation Paper by 29 June 2021. You can send them to us using the online response form on our website. Or in writing to: Jai Shah. Financial Conduct Authority. 12 Endeavour Square. London E20 1JN. Telephone: 020 7066 7418. Email:cp21-11@fca.org.uk.
CP21/15: BENCHMARKS REGULATION: HOW WE PROPOSE TO USE OUR Read CP21/15 (PDF) Why we are consulting. We are seeking views on how we propose using two new powers relating to the use of critical benchmarks that are being wound down. FINANCIAL LIVES SURVEY Financial Lives is the FCA's flagship nationally representative survey of UK consumers. It provides information about consumers’ attitudes towards managing their money, the financial products they have and their experiences of engaging with financial services firms. CP21/12: A NEW AUTHORISED FUND REGIME FOR INVESTING IN Online response form. We are seeking feedback on this CP by 25 June 2021. You can use the response form email us at cp21-12@fca.org.uk or write to us at: Michael Collins and Tom Bramhill, Financial Conduct Authority, 12 Endeavour Square, London E20 1JN. WEBINARS - FCA WEBINARS FCA regulation for funeral plan intermediaries March 26, 2021 01:30 PM (Europe/London). FCA regulation for funeral plan providers - an AOP PROFESSIONAL ADVANCE GROUP PLC (CLONE OF FCA AOP Professional Advance Group Plc (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to FINANCIAL CONDUCT AUTHORITY The Financial Conduct Authority is the conduct regulator for 58,000 financial services firms and financial markets in the UK and the prudential regulator for over 24,000 of those firms. FINANCIAL SERVICES REGISTER CP21/13: A NEW CONSUMER DUTY CP21/13: A new Consumer Duty. We are consulting on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards consumers. A link to the full consultation paper (CP21/13) is provided below, and this page summarises our proposals. REGDATA | FCASEE MORE ON FCA.ORG.UK CP21/11: THE STRONGER NUDGE TO PENSIONS GUIDANCE We are asking for comments on this Consultation Paper by 29 June 2021. You can send them to us using the online response form on our website. Or in writing to: Jai Shah. Financial Conduct Authority. 12 Endeavour Square. London E20 1JN. Telephone: 020 7066 7418. Email:cp21-11@fca.org.uk.
CP21/15: BENCHMARKS REGULATION: HOW WE PROPOSE TO USE OUR Read CP21/15 (PDF) Why we are consulting. We are seeking views on how we propose using two new powers relating to the use of critical benchmarks that are being wound down. FINANCIAL LIVES SURVEY Financial Lives is the FCA's flagship nationally representative survey of UK consumers. It provides information about consumers’ attitudes towards managing their money, the financial products they have and their experiences of engaging with financial services firms. CP21/12: A NEW AUTHORISED FUND REGIME FOR INVESTING IN Online response form. We are seeking feedback on this CP by 25 June 2021. You can use the response form email us at cp21-12@fca.org.uk or write to us at: Michael Collins and Tom Bramhill, Financial Conduct Authority, 12 Endeavour Square, London E20 1JN. WEBINARS - FCA WEBINARS FCA regulation for funeral plan intermediaries March 26, 2021 01:30 PM (Europe/London). FCA regulation for funeral plan providers - an AOP PROFESSIONAL ADVANCE GROUP PLC (CLONE OF FCA AOP Professional Advance Group Plc (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how toFCA INSIGHT
Gender, personal finances and Covid-19. In the latest article based on data from the FCA’s Financial Lives survey, Insight authors examine gender and personal finance. How does gender map onto the use of financial products and services? And has the Covid-19 crisis Multipleauthors.
OPERATIONAL RESILIENCE Operational resilience is the ability of firms, financial market infrastructures and the financial sector as a whole to prevent, adapt and respond to, recover and learn from operational disruption. By 31 March 2022, relevant firms must identify their important business services, set impact tolerances and carry out necessary mapping and testing to enable them to do so. CLIMATE-RELATED REPORTING REQUIREMENTS Climate-related reporting requirements. First published: 23/04/2021 Last updated: 23/04/2021. Find out more about our TCFD-aligned reporting requirements, which companies and firms fall in scope of the rules, and our plans for extending the requirements. Financial markets rely on good disclosures to inform asset pricing and capitalallocation.
LOGIN - FINANCIAL SERVICES AUTHORITY Online Invoicing is the FCA’s “one-stop shop” fees portal. 95% of our firms now use this paperless service which reduces our environmental impact and ensures the FCA has an efficient and effective fees invoicing and collection process. Firms have direct access to their fees account to FG21/3: ADVISING ON PENSION TRANSFERS FG21/3: Advising on pension transfers. Finalised guidance First published: 30/03/2021 Last updated: 30/03/2021. This Finalised Guidance (FG) provides non-Handbook guidance to help advisers understand our expectations when advising on pension transfers and conversions. Read FG21/3 (PDF) GUIDANCE FOR FIRMS ON THE FAIR TREATMENT OF VULNERABLE Guidance for firms on the fair treatment of vulnerable customers. Our Guidance highlights the actions firms should take to understand the needs of vulnerable customers to make sure they are treated fairly. Protecting vulnerable consumers is a key focus for us and is more important than ever due to the impact of coronavirus (Covid-19). CALL FOR INPUT: PENSIONS CONSUMER JOURNEY Evidence shows that consumers often fail to make the most of their pensions. We want to understand consumer behaviour at key points in the pension saving journey to improve pension outcomes. This involves identifying the best points at which to offer savers support, who is best placed to provide that support, and how this can be done. PS21/3 BUILDING OPERATIONAL RESILIENCE Show PS21/3 (PDF) Why we are changing our rules. In December 2019, we consulted – in CP19/32 – on proposed changes to how firms approach their operational resilience. We developed these proposals in partnership with the Bank of England – in its capacity of supervising financial market infrastructures (FMIs) – and the Prudential Regulation Authority (PRA) to improve the operational REGULATORY INITIATIVES GRID The Financial Services Regulatory Initiatives Forum was launched to strengthen coordination between members. It is made up of representatives of the Bank of England, Financial Conduct Authority, Prudential Regulation Authority, Payment Systems Regulation and the Competition and Markets Authority, with HM Treasury as an observermember.
CONNECT LOGIN
Changes to Connect. When you log in, you’ll notice a new and improved look and feel to Connect. We’re keen for your feedback on these changes, so please use the feedback function within Connect to let us know what you think. As part of the FCA's commitment to data protection, our continuous improvement programme is currentlyimplementing
FINANCIAL CONDUCT AUTHORITY The Financial Conduct Authority is the conduct regulator for 58,000 financial services firms and financial markets in the UK and the prudential regulator for over 24,000 of those firms. FINANCIAL SERVICES REGISTER CP21/13: A NEW CONSUMER DUTY CP21/13: A new Consumer Duty. We are consulting on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards consumers. A link to the full consultation paper (CP21/13) is provided below, and this page summarises our proposals. REGDATA | FCASEE MORE ON FCA.ORG.UKHOME - FCA HANDBOOK
Prudential Regulation Authority Rulebook. The Prudential Regulation Authority (PRA) is responsible for the prudential regulation and supervision of banks, building societies, credit unions, insurers and designated investment firms. Rules which apply to PRA-regulated persons are set out in the PRA Rulebook. Redirect to the PRA Rulebook. CP21/11: THE STRONGER NUDGE TO PENSIONS GUIDANCE We are asking for comments on this Consultation Paper by 29 June 2021. You can send them to us using the online response form on our website. Or in writing to: Jai Shah. Financial Conduct Authority. 12 Endeavour Square. London E20 1JN. Telephone: 020 7066 7418. Email:cp21-11@fca.org.uk.
CP21/15: BENCHMARKS REGULATION: HOW WE PROPOSE TO USE OUR Read CP21/15 (PDF) Why we are consulting. We are seeking views on how we propose using two new powers relating to the use of critical benchmarks that are being wound down. FINANCIAL LIVES SURVEY Financial Lives is the FCA's flagship nationally representative survey of UK consumers. It provides information about consumers’ attitudes towards managing their money, the financial products they have and their experiences of engaging with financial services firms. WEBINARS - FCA WEBINARS FCA regulation for funeral plan intermediaries March 26, 2021 01:30 PM (Europe/London). FCA regulation for funeral plan providers - an AOP PROFESSIONAL ADVANCE GROUP PLC (CLONE OF FCA AOP Professional Advance Group Plc (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to FINANCIAL CONDUCT AUTHORITY The Financial Conduct Authority is the conduct regulator for 58,000 financial services firms and financial markets in the UK and the prudential regulator for over 24,000 of those firms. FINANCIAL SERVICES REGISTER CP21/13: A NEW CONSUMER DUTY CP21/13: A new Consumer Duty. We are consulting on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards consumers. A link to the full consultation paper (CP21/13) is provided below, and this page summarises our proposals. REGDATA | FCASEE MORE ON FCA.ORG.UK CP21/11: THE STRONGER NUDGE TO PENSIONS GUIDANCE We are asking for comments on this Consultation Paper by 29 June 2021. You can send them to us using the online response form on our website. Or in writing to: Jai Shah. Financial Conduct Authority. 12 Endeavour Square. London E20 1JN. Telephone: 020 7066 7418. Email:cp21-11@fca.org.uk.
HOME - FCA HANDBOOK
Prudential Regulation Authority Rulebook. The Prudential Regulation Authority (PRA) is responsible for the prudential regulation and supervision of banks, building societies, credit unions, insurers and designated investment firms. Rules which apply to PRA-regulated persons are set out in the PRA Rulebook. Redirect to the PRA Rulebook. CP21/15: BENCHMARKS REGULATION: HOW WE PROPOSE TO USE OUR Read CP21/15 (PDF) Why we are consulting. We are seeking views on how we propose using two new powers relating to the use of critical benchmarks that are being wound down. FINANCIAL LIVES SURVEY Financial Lives is the FCA's flagship nationally representative survey of UK consumers. It provides information about consumers’ attitudes towards managing their money, the financial products they have and their experiences of engaging with financial services firms. WEBINARS - FCA WEBINARS FCA regulation for funeral plan intermediaries March 26, 2021 01:30 PM (Europe/London). FCA regulation for funeral plan providers - an AOP PROFESSIONAL ADVANCE GROUP PLC (CLONE OF FCA AOP Professional Advance Group Plc (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to OPERATIONAL RESILIENCE Operational resilience is the ability of firms, financial market infrastructures and the financial sector as a whole to prevent, adapt and respond to, recover and learn from operational disruption. By 31 March 2022, relevant firms must identify their important business services, set impact tolerances and carry out necessary mapping and testing to enable them to do so. FG21/3: ADVISING ON PENSION TRANSFERS FG21/3: Advising on pension transfers. Finalised guidance First published: 30/03/2021 Last updated: 30/03/2021. This Finalised Guidance (FG) provides non-Handbook guidance to help advisers understand our expectations when advising on pension transfers and conversions. Read FG21/3 (PDF) PS21/3 BUILDING OPERATIONAL RESILIENCE Show PS21/3 (PDF) Why we are changing our rules. In December 2019, we consulted – in CP19/32 – on proposed changes to how firms approach their operational resilience. We developed these proposals in partnership with the Bank of England – in its capacity of supervising financial market infrastructures (FMIs) – and the Prudential Regulation Authority (PRA) to improve the operationalSHELDON MILLS
Sheldon Mills is Executive Director, Consumers and Competition. Sheldon was appointed Executive Director, Consumers and Competition in December 2020. He was previously the Interim Executive Director of Strategy and Competition at the FCA. Sheldon joined the FCA inNovember 2018.
CRYPTOASSETS
Cryptoasset is a broad term and covers many different types of products. The most popular forms of cryptoassets include tokens like Bitcoin, Ether and Litecoin. We call these 'exchange tokens' because they are intended to be used as a method of payment. They are sometimes referred to as cryptocurrencies, cryptocoins, or paymenttokens.
SENIOR MANAGERS AND CERTIFICATION REGIME The PRA has published a report on its evaluation of the Senior Managers and Certification Regime (SM&CR). The PRA evaluated the SM&CR as it applies to dual regulated firms – that is, firms regulated by both the FCA and the PRA and for which the PRA is the prudential regulator (deposit takers, designated investment firms and insurers). REGULATORY INITIATIVES GRID The Financial Services Regulatory Initiatives Forum was launched to strengthen coordination between members. It is made up of representatives of the Bank of England, Financial Conduct Authority, Prudential Regulation Authority, Payment Systems Regulation and the Competition and Markets Authority, with HM Treasury as an observermember.
ICOBS 6.5 RENEWALS
ICOBS 6.5.1A G 26/04/2021. (1) 2 3. When a firm proposes to a consumer the renewal of a travel insurance policy, the firm should at the same time: (a) disclose to the consumer whether any medical condition exclusion can be removed from the policy (in whole or in part); and.(b)
LISTING RULES
LR Contents 10.4 Class 2 requirements 10.5 Class 1 requirements 10.6 10.7 Transactions by specialist companies 10.8 Miscellaneous 10 Annex 1 The Class Tests SYSC 8.1 GENERAL OUTSOURCING REQUIREMENTS SYSC 8.1.-2 G 03/01/2018 RP. 7. For a common platform firm: (1) the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and. (2) the rules and guidance apply as set out in the table below: Subject. Applicablerule or guidance.
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ANNUAL FEES: ONLINE INVOICES AUTHORISATION: NEW TO REGULATION LATEST CONSULTATION PAPERS CP20/6: Regulated fees and levies: rates proposals 2020/21 CP20/5: ETF Listing: Premium to Standard Listing CP20/4: Quarterly Consultation Paper No 27 CP20/3: Proposals to enhance climate-related disclosures by listed issuers and clarification of existing disclosure obligations CP20/2: Financial Services Compensation Scheme – Management ExpensesLevy Limit 2020/21
Show all consultation papers LATEST POLICY STATEMENTS PS20/4: Amendment of COBS 21.3 permitted link rules PS20/3: Signposting to travel insurance for consumers with medicalconditions
PS20/2: Publishing and disclosing costs and charges to workplace pension scheme members and amendments to COBS 19.8 PS20/01: Mortgage advice and selling standards: feedback to CP19/17and final rules
PS19/30 Independent Governance Committees: extension of remit Show all policy statementsBREXIT
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