Conduct Sourcebook News Today

The U.K. Financial Conduct Authority has opened a consultation on proposals for improving transparency for bond and derivatives markets. Following the Wholesale Markets Review,...

In a welcome change in approach to financial market regulation, the United Kingdom’s Financial Conduct Authority (FCA) is requiring market participants to deliver good outcomes for...

United Kingdom Financial Conduct Authority is requiring market participants to deliver good outcomes for consumers. FCA announced final rules and guidance for new Consumer Duty applicable to financial services firms providing goods and services to retail consumers.

'There are some very significant factors that will impact the UK financial services market as a whole'

‘UK regulated firms will need to consider implications of dealing with unregulated third-parties’ The court of appeal has delivered a blow to Carey Pensions after a judge ordered the firm to compensate one of its former clients. The Adams v Carey Case has been ongoing since 2018. The client sued the pension company after experiencing losses in investments made through his Sipp. Adams was introduced to Carey by an unregulated introducer and agreed to transfer funds from an existing pension i...