Sheldon Mills, Executive Director of Consumers and Competition at the FCA, commented: The package of measures we are proposing will enhance our existing rules and is designed to tackle the harms we see in financial services markets, and their causes, as well as put consumers in a stronger position to make good decisions. We want…
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The FCA now proposes to alter current research-related inducement rules in order to broaden the list of "minor non-monetary benefits". This list will be set to include research on SMEs with a market cap of less than £200m, so that the rules will no longer limit it. FICC research, often associated with difficulties in applying…
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The Commission has now revealed that it received 96 applications from UK companies overall. Seven of these applications were rejected because they did not adhere to the eligibility criteria set out for the TPR. In contrast, one application was simply withdrawn from the process. Those 88 UK firms that have been granted TPR access to…
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The Financial Conduct Authority (FCA) released a new policy statement on its website announcing that all UK crypto firms must now submit financial crime reports on a yearly basis, regardless of annual revenue. Within the new financial crimes reporting sphere are cryptoasset business, following plans released eight months ago alluding to the policy change. The…
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The UK-based crypto firms now included under the new policy’s umbrella will be obliged to submit financial crime reports by the date specified by the FCA. The regulator first announced that these plans were taking shape in August last year, and stated that the upcoming policy was being refined in an attempt to take on…
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FCA’s statement said: Unauthorised investment advice exposes consumers to the risk of substantial losses because the adviser has not met the FCA’s tests of competence and fitness; nor do consumers have access to the Financial Ombudsman Service or the Financial Services Compensation Scheme if things go wrong. The court ordered Maricar to pay restitution in…
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