Supervision
The oversight of firms and individuals to reduce actual and/or potential harm to consumers and markets.
Visit the Supervision dedicated microsite on this topicFSCS signs an MOU with FCF
Discover the FSCS Memorandum of Understanding with the Fraud Compensation Fund, aimed at streamlining compensation for financial losses in occupational pension schemes
FSCS: Attitudes Towards the Retirement of Tomorrow
Discover the FSCS research report on attitudes towards retirement, addressing consumer concerns, trust issues, and low engagement in saving for the future
HMT announces update to high risk third country list
Discover the HM Treasury Money Laundering and Terrorist Financing (High-Risk Countries) (Amendment) (No.2) Regulations 2023 (SI 2023/1306) for essential compliance information
House of Lords Financial Services Regulation Committee: Financial Conduct Authority’s enforcement proposals
Discover the House of Lords FSRC letter urging the FCA to rethink its proposal on naming firms under investigation, highlighting potential market integrity risks
Financial Ombudsman Service (FOS) expectations of businesses
Discover the July 2023 letter from the Financial Ombudsman Service outlining expectations for firms, service improvements, and effective dispute resolution strategies
FCA Dear CEO Letter
Discover the March 2024 FCA Dear CEO letter on the Thematic Review of Retirement Income Advice, outlining key findings and future actions for improvement
PIMFA Journal Edition #31
Read here the PIMFA Journal #31, featuring nine articles written by PIMFA Associate member firms on current industry topics of interest, relevant to their firms’ operations, Topics include AI, Senior Management Functions, Women Investors, Private Investment, CCI Product Summaries, Data, M&A, Back Office as a Strategic Asset
House of Lords Financial Services Regulation Committee (FSRC) Letter
Read here the House of Lords Financial Services Regulation Committee (FSRC) letter to the Financial Conduct Authority (FCA) which raised concerns regarding cost disclosure requirements for listed investment companies
PIMFA Groups Infographic
Read here the updated PIMFA Groups infographic, showing the structure involved
FCA – Advice Guidance Boundary Review
The FCA have outlined proposals as part of its ongoing Advice Guidance Boundary Review.
Suitability Guide
Read PIMFA’s Suitability Guide
Financial Conduct Authority: Authorisations operating service metrics 2023/24 Q4
Download here the FCA's quarterly data (January to March 2024) table on Authorisations metrics
FOS Scheme Criteria
Download here the Financial Ombudsman Service's paper on the Proactive Settlement Scheme Criteria, announcing that, following a review, it will make the proactive settlement outcome an ongoing feature of its reporting