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Trading Venue Notifications (RMs, MTFs, OTFs) [pdf]
Trading venue MiFID notification and application guide. -
Trading venue reporting form – MiFID II Article 32/52 trading suspensions, removals and restorations [docx]
UK trading venues must communicate the decisions to suspend, remove or restore a financial instrument (and any relevant related derivatives) from trading to the FCA. -
Video transcript: Our Mission: Our Future Approach to Consumers [pdf]
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CP17/37: Industry Codes of Conduct and Discussion Paper on FCA Principle 5 [pdf]
We are consulting on our approach to supervising adherence to proper standards of market conduct for unregulated markets and activities, including standards set out in industry-written codes of conduct. -
Final Notice 2017: Venture15 Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2017: Motor Palace Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
PS18/18: Industry Codes of Conduct and Discussion Paper on FCA principle 5
In this Policy Statement we respond to feedback arising from CP17/37 and publish handbook guidance regarding the FCA’s recognition of industry codes of conduct. Code authors will be able to seek recognition from 18 July 2018 when these this -
FCA Q2 17/18 Number of skilled person reports commissioned [pdf]
Under the Financial Services and Markets Act, as amended by the 2012 Act, the FCA has the power to obtain a view from a third party (a ‘skilled person’) about aspects of a regulated firm's activities if it is concerned or wants further analysis. -
Minutes: FCA Board 11 and 12 September 2017 [pdf]
FCA board minutes September 2017 -
PS17/24: Handbook changes to reflect the new regulatory framework for Insurance-Linked Securities – Feedback to CP16/34 and CP17/3 and near-final rules [pdf]