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Bullying, Harassment and Violence Set to Be Conduct Issues Under New FCA Rule
17 Jul 2025 07:07 GMT
… Financial Conduct Authority (the “FCA”) recently published its Policy … internal disciplinary procedures?
The FCA clarifies that the conduct rules … on proposed guidance in the FCA Handbook (the “Guidance”):
… the Conduct Rules?
The FCA’s Guidance clarifies that: …
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Laurinburg to host FCA Softball Camp
16 Jul 2025 23:24 GMT
… countdown is on for the FCA Fundraiser Camp.
The camp is …
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Reeves must set out risk appetite in cutting red tape, says FCA
16 Jul 2025 21:47 GMT
The boss of the City regulator has insisted officials are not trying to “cover their backs” by calling on ministers to set out their risk appetite as part of the government’s drive to cut red tape.
Nikhil Rathi, who runs the Financial Conduct Authority, …
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FCA clarifies expectations on non-financial misconduct to align approach across financial services
16 Jul 2025 19:58 GMT
… , the Financial Conduct Authority (FCA) has made substantial efforts to …
In a powerful statement, FCA Deputy Chief Executive, Sarah … In September 2023, the FCA released its consultation paper titled … set of regulations, the FCA is providing them an opportunity …
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Ninth Circuit Exempts Relators from Ban on Customs-Based FCA Actions
16 Jul 2025 18:35 GMT
… to adjudicate customs-based FCA claims pursued by the … States from filing affirmative FCA actions for violations of … jurisdictional bar to affirmative FCA actions based on customs violations … displace remedies available under the FCA.
Under this holding, an …
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A new form of investment advice – the FCA’s proposals for targeted support
16 Jul 2025 18:33 GMT
… appropriate frequency”.
Direct marketing: The FCA acknowledges that if clients have … to do so without FCA authorisation.
The FCA says that it plans … around “streamlined advice”). However, the FCA acknowledges that its previous initiatives …
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UK FCA finalises rules on NFM and launches consultation on new Handbook guidance
16 Jul 2025 18:32 GMT
The UK Financial Conduct Authority (FCA) has published a consultation … behaviour constitutes a breach of FCA rules. In addition to … finalising these rules, the FCA is consulting on proposed new … FCA Handbook guidance to support …
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FCA boss sounds alarm on financial warfare and debt levels
16 Jul 2025 15:45 GMT
… of the Financial Conduct Authority (FCA) (Hollie Adams/Bloomberg … of the Financial Conduct Authority (FCA) has warned, as he issued … start to intersect.”
The FCA chief executive pointed peers on … the years ahead.
Rathi: FCA needs more gilt trading data …
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FCA defends five-year plan as MPs criticise slow authorisation pace and admin costs for firms
16 Jul 2025 15:08 GMT
… on the back of the FCA's 2025-2030 strategy …
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FCA fines Barclays £42m over financial crime risk lapses
16 Jul 2025 13:38 GMT
… wealth management firm.
The FCA found that Barclays failed to … recover their funds.
The FCA charged WealthTek’s principal partner … and market oversight at the FCA.
“Banks need to take … anti-money laundering systems, the FCA said.
Financial crime remains …
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