Keeping watch – Key learnings from the FCA’s Market Watch
The U.K. regulator’s Market Watch newsletter provides insight into areas of focus, investigatory findings, and potential upcoming enforcement priorities, and is a must-read for firms looking to stay on the right side of regulation.
Case-by-Case: FCA clarifies how new “name and shame” approach will be implemented
In a recent webinar, Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, FCA, detailed how the regulator will implement its new “name and shame” approach to investigations – and how it will act as a deterrent.
Name and shame – FCA vows more transparency to increase deterrence
The Financial Conduct Authority has set out its commitment to increasing transparency of its investigations, intending its new “name and shame” strategy to deter firms and individuals from non-compliance.
The complete guide to CONC (Consumer Credit Sourcebook)
The FCA's Consumer Credit Sourcebook (CONC) is a valuable tool for firms engaging in debt advice with customers.
Letter of intent – FCA requests non-financial misconduct data from insurance firms
The FCA has continued its focus on non-financial misconduct by issuing a letter to insurers and insurance agents requesting information on NFM incidents at firms – including the outcomes of these incidents.