MAY
20

Treasury Consulting Group

We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

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MAY
17

Stanford Capital Markets

We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

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© FCA

MAY
17

Margin Bank

We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary of dealing with this unauthorised firm and how to protect yourself from scammers.

Copyright

© FCA

MAY
17

Gold Aspire Consultancy (clone of authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

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© FCA

MAY
17

CIRCULARS CIF: C313 - Findings of desk-based reviews regarding capital adequacy Forms

CIRCULARS CIF: C313 - Findings of desk-based reviews regarding capital adequacy Forms

Copyright

© CySEC

MAY
17

CIRCULARS CIF: C312 - Findings of Review into Key Information Documents (the “KID”) on Packaged Retail and Insurance – based Investment Products (PRIIPs)

CIRCULARS CIF: C312 - Findings of Review into Key Information Documents (the “KID”) on Packaged Retail and Insurance – based Investment Products (PRIIPs)

Copyright

© CySEC

MAY
16

Credo Global Markets / Credo GM (clone of FCA authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

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MAY
16

Fiona Wilson Financial Services Limited (clone of authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

Copyright

© FCA

MAY
16

Leading the Way on Regulation

Speaker: Karina McTeague, Director of General Insurance and Conduct Specialists Supervision
Event: BIBA Conference 2019, Manchester
Delivered: 15 May 2019
Note: this is the speech as drafted and may differ from the delivered version

Highlights

  • Business models should be sustainable and analysed against the risks and opportunities of rapidly evolving customer expectations.
  • Meeting the requirements of the Insurance Distribution Directive (IDD) contributes to enhancing trust in the insurance industry.
  • The clarity provided through Senior Managers and Certification Regime (SM&CR) is not simply a matter of regulatory compliance, it is also good business practice and beneficial for firms of all sizes.

I have a personal, as well as professional reason for being particularly pleased to have been asked to talk about ‘Leading the Way on Regulation’. As someone who spent more than 20 years in the private sector, I’m often asked why I moved to the regulator.

Six years ago, I returned from the US where I’d been chief risk officer (CRO) for Lloyds Banking Group. Like everyone else in banking, I’d lived through the trials of the financial crisis. I had also seen the difference in approach between the US and the UK in the aftermath. I returned to the UK determined to play a part in restoring trust and confidence in UK financial services.

The UK Parliament had just taken a decisive lead in the regulation of financial services by establishing the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) under the Twin Peaks model. The UK’s Twin Peaks model was particularly innovative. It acknowledged that we need a holistic approach that balances consumer protection, market integrity and competition in the interests of consumers.  

To join the FCA in its first year was inspiring. It is no coincidence that, from such innovative roots, the FCA has continued to set a high standard globally. For example:

Continue reading

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MAY
16

Mn99 Credit Union (clone of authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’. 

Copyright

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