Events listed in FCA Rulebook
Preparing for the future of Consumer Investments
ID 26161
The Financial Conduct Authority (FCA) has published a statement in which it outlines its approach to the „future of consumer investments“, that is it’s approach to any future rules and regulations to enhance the safeguards, information, accessibility, and experience in relation to retail investments. The FCA thereby points out five primary areas of focus which are briefly described below: ##### *Areas of focus in ...
Primary Market Bulletin 43
ID 21946
The Financial Conduct Authority (FCA) has issued a new version of its Primary Market Bulletin, Bulletin #43. This time, the bulletin deals with the FCA’s new „multi-factor authentication“ requirement for access to FCA systems, including its Electronic Submission System, a possible exemption from requirements under the FCA’s Disclosure Guidance and Transparency Rules Sourcebook (DTR) as regards periodic financial reporting of third-country issuers, and ...
Portfolio letter: Wholesale brokers 2023 [pdf]
ID 21420
The Financial Conduct Authority (FCA) has published an open portfolio letter addressed at CEOs of wholesale brokers to summarize the key risks (of harm) the regulator has identified in connection with these firms and the markets they operate in and to outline its supervisory focus and expectations regarding the mitigation of these risks. According to the FCA, the key risks primarily concern the following: ...