The FCA is amending conduct rules for non-bank firms, increasing scrutiny and reporting requirements, while observers note conduct issues are used for dismissals.
2 reports, 2 independent
Updated Aug 28
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What happened
The FCA is amending conduct rules for non-bank firms, increasing scrutiny and reporting requirements, while observers note conduct issues are used for dismissals.
Who's involved
What this event is mainly aboutFinancial Conduct AuthorityWendy Saunders
How it developed
Newest first. Tap a step to see who reported it.- Firms must now detect and report suspicious orders and transactions to the Financial Conduct Authority.Sub-event
Discussion underway regarding non-financial misconduct rules involving the insurance sector.1 source
FCA is updating conduct rules for non-bank firms, increasing scrutiny and reporting requirements.1 source
Keep exploring
Part of
The UK is modernizing its financial conduct regime by moving detailed conduct regulation to FCA rules.Also in this story
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- A bill removing punitive sanctions for minor errors in financial services policy was announced, with a co-founder of Consumer VOICE commenting on the changes.
- ICAS reacted to FCA plans to reshape listed company reporting rules, proposing UK SRS S2.
The entities involved
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Financial Conduct Authority
quasi-governmental agency in the United Kingdom
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