FCA Key Topics – September - October 2021
Read more about the key topics on the FCA’s agenda during the past few months which includes:
- Update on the FCA’s new prudential regime
- The FCA and the Bank of England’s new quoting conventions
- The FCA’s proposes streamlined decision-making process
FCA Updates – September - October 2021
Areas covered:
- Man sentenced to over five years imprisonment for money laundering
- IFA banned from working in financial services
- Individual sentenced to 28 months imprisonment from forging a trust deed
FCA Updates – July - August 2021
Areas covered:
- FCA statement on supervision of commodity position limits
- Joint Bank of England and FCA review of open-ended investment funds
- FCA published Annual report and accounts 2020/2021
- Regulatory Hosted Solution Update
- Transforming to a forward-looking, proactive regulator
- Information for firms using exemptions from the financial promotions order
- FCA secures conditional resolution of proceedings against an investment scheme
- FCA enforcement: Individual charged with one offence of money laundering
- Four year sentencing for fraudulent trading and providing financial services without FCA authorization
- FCA publishes final rules to strengthen investor protections in special acquisition companies (SPACs)
- FCA consults on proposals to boost disclosure of diversity on listed company boards and executive committees
- Enforcement: Court of appeal upholds findings of breaches against firm
- FCA stops firms from offering contracts for differences (CFDs) to UK customers
- Third consultation on new prudential regime for UK investment firms
- Unlawful CFD forex trading promotion results in bankruptcy order
- Firms reminded about potential financial crime risks linked to Afghanistan
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