Publications
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Tracey McDermott's allowances and expenses: April 2016 – June 2016 [pdf]
Summary of allowances and expenses claimed by Tracey McDermott, Acting Chief Executive, including hospitality given outside of the FCA. -
Christopher Woolard's allowances and expenses: April 2015 – March 2016 [pdf]
Summary of allowances and expenses claimed by Christopher Woolard, Director of Strategy and Competition, including hospitality given outside of the FCA. -
John Griffith-Jones' allowances and expenses: April 2015 – March 2016 [pdf]
Summary of allowances and expenses claimed by John Griffith-Jones, Chairman including hospitality given outside of the FCA. -
John Griffith-Jones' allowances and expenses: April 2016 – March 2017 [pdf]
Summary of allowances and expenses claimed by John Griffith-Jones, Chairman, including hospitality given outside of the FCA. -
Christopher Woolard's allowances and expenses: April 2016 – March 2017 [pdf]
Summary of allowances and expenses claimed by Christopher Woolard, Director of Strategy and Competition, including hospitality given outside of the FCA. -
Gabriel profile switch rules [pdf]
Profile switches are a series of true/false flags based on a firm’s characteristics such as its permitted activities and legal status. They are used within some of the RMA data items to 'switch off' specific elements which are not relevant to the -
Pre-trade transparency waivers [pdf]
On 19 December 2016 ESMA published Q&A on the process of how it delivers opinions to national competent authorities on pre-trade transparency waivers. In light of this we have written to UK operators of trading venues. This letter is relevant to -
Final Notice 2016: Tim Morse [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. -
Occasional Paper 24: Behaviour and compliance in organisations [pdf]
This paper discusses the complex range of factors that influence effective compliance and provides suggestions for how regulators and firms can improve levels of compliance. -
CP16/43: Markets in Financial Instruments Directive II implementation – Consultation Paper IV [pdf]
We are consulting on our fourth set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook.