Publications
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PS18/7: Staff incentives, remuneration and performance management in consumer credit firms
This FCA Policy Statement responds to feedback arising from CP17/20 and it sets final rules for staff incentives, remuneration and performance management in consumer credit firms. -
FG18/5: Guidance on financial crime systems and controls: insider dealing and market manipulation
We are consulting on changes to the Financial Crime Guide for firms, proposing to add a chapter on insider dealing and market manipulation and make miscellaneous changes as a result of recent regulatory changes to ensure the guide remains up to date. -
Final Notice 2018: Alexander David Osborne Stuart [pdf]
This final notice refers to breaches of APER 1 and FIT relating to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition. -
PS18/6 Advising on Pension Transfers [pdf]
The FCA has published rules and guidance on how advice should be provided to consumers on pension transfers where consumers are considering giving up safeguarded benefits, primarily for transfers from defined benefit to defined contribution pension -
CP18/7: Improving the quality of pension transfer advice [pdf]
This Consultation Paper follows on from our recent publications on advising on pension transfers: in particular, CP17/16 and PS18/6. -
Final Notice 2018: Eye Green Cars Limited [pdf]
This FCA final notice (Eye Green Cars Limited) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
PS18/6: Advising on Pension Transfers
The FCA has published rules on how advice should be provided to consumers on pension transfers where consumers are considering giving up safeguarded benefits. -
PS18/20: Improving the quality of pension transfer advice
The FCA is consulting on improving the quality of pension transfer advice. The consultation closes on 25 May 2018. -
Notification to Amend Firm Details for a Small Electronic Money Institution or an Authorised Electronic Money Institution [docx]
This form is to be used to update an EMI’s Registered Name, Trading Name(s), addresses -
Notification to amend firm details for an Annex I financial institution [doc]
Full name and Firm reference Number (FRN) of Annex I financial institution notifying the FCA of changes to firm details