Diversified Financial Services
Company Overview of The Financial Conduct Authority
The Financial Conduct Authority regulates the financial services industry in the United Kingdom. The company supervises the conduct of approximately 50,000 firms, as well as regulates the prudential standards of those firms not covered by the Prudential Regulation Authority. It also works with firms to fight financial crime and unfair contract terms, as well as to facilitate them to protect themselves against criminal activities. In addition, the company regulates financial services providers to ensure consumers are offered with appropriate products for their personal circumstances; and sets standards for financial advisers to provide unbiased advice on a range of products. Further, it engag...
25 The North Colonnade
London, E14 5HS
Founded in 1985
Key Executives for The Financial Conduct Authority
Chief Executive Officer and Executive Director
Executive Officer of Finance & Operations
Chief Executive of Consumer Financial Education Body
Divisional Head of Retail Markets and Director of Prudential Standards Division
Compensation as of Fiscal Year 2014.
The Financial Conduct Authority Key Developments
The Financial Conduct Authority Presents at 16th Annual International Conference on Private Investment Funds, Mar-09-2015 04:15 PM
Mar 5 15
The Financial Conduct Authority Presents at 16th Annual International Conference on Private Investment Funds, Mar-09-2015 04:15 PM. Venue: Intercontinental, London, United Kingdom. Speakers: Edwin Schooling Latter, Head of Department, Markets Infrastructure & Policy Division.
The Financial Conduct Authority Fines £17.6 Million on Aviva Investors
Feb 24 15
The Financial Conduct Authority has fined Aviva Investors £17.6 million for systems and controls failings that meant it failed to manage conflicts of interest fairly. Aviva Investors said it 'unreservedly accepts' the FCA's decision and said the fine relates to breaches that occurred before 2013. The firm said that once the breaches had been discovered, it notified the FCA of the breaches and 'cooperated fully' with the ensuing investigation.
Financial Conduct Authority Announces Executive Changes
Feb 6 15
The Financial Conduct Authority (FCA) has appointed Lloyds Banking Group director Alison Brittain as chair of its practitioner panel. Although the members are formally appointed by the regulator, the chairman must have the approval of the Treasury. Brittain, group director of retail at Lloyds Banking Group will take over from current practitioner panel chair Graham Beale in April. Beale has been chair since April 2013. Alongside Brittain's appointment, Robert Mass, head of internal compliance and global head of securities division compliance at Goldman Sachs will replace Paul Swann, managing director of ICE Clear Europe. Each appointment is for a two year term. Clinton Askew, director of Citywide Financial Partners will lead the FCA smaller business practitioner panel, overtaking Andrew Turberville, chief operating officer of Weatherbys Bank.
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