Compliance Officer Prohibition
Prohibition: Publication of three Final Notices reminds us that the FCA may pursue individuals
Recovery and Resolution
FCA publishes Resolution and Recovery final rules
Regulating Sonia
SONIA (Sterling Overnight Index Average) is one of seven benchmarks which will come under FCA regulation from 1 April 2015.
FCA Strategy Review
Structural reorganisation needed as number of FCA firms treble in 18months
Regulatory Fees and Levies
Proposed policy changes to fee and levy regime
Changes to Companies Act
The Small Business, Enterprise and Employment Bill is progressing through Parliament.
Retrospective Application of Rules
The FCA is reaching out to the industry for examples where it is believed that the FCA has applied its rules retrospectively.
FCA Fees and Levies 2014/15
The FCA has published PS14/11 which confirms the final fees and levies payable for 2014/15
Dealing Commission Discussion: Unbundling
The FCA has published Discussion Paper DP14/3 on the use of the dealing commission regime
Wholesale Markets: Competition
The FCA has published a call for inputs on its wholesale sector competition review