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  1. Final notice 2016: Matrix Integrated Financial Solutions [pdf]

    Final notices

    Published: 22/07/2016

    Last modified: 22/07/2016

    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

  2. FCA Second Supervisory Notice 2016: Vantage Investment Group Limited [pdf]

    Supervisory notices

    Published: 22/07/2016

    Last modified: 22/07/2016

    FCA Second Supervisory Notice 2016: Vantage Investment Group Limited

  3. Co-operation Agreement between Financial Conduct Authority (FCA) and Financial Services Commission of the Republic of Korea (FSC) [pdf]

    Memorandums of understanding

    Published: 22/07/2016

    Last modified: 27/06/2018

    Co-operation Agreement between Financial Conduct Authority (FCA) and Financial Services Commission of the Republic of Korea (FSC).

  4. annual-public-meeting-2016-question-answer-session.pdf [pdf]

    Published: 22/07/2016

    Last modified: 03/08/2016

  5. annual-public-meeting-2016-john-griffith-jones-speech.pdf [pdf]

    Published: 22/07/2016

    Last modified: 03/08/2016

  6. Final notice 2016: H Finnikin [pdf]

    Final notices

    Published: 21/07/2016

    Last modified: 21/07/2016

    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.

  7. Regulation round-up - July 2016 [pdf]

    Documents

    Published: 21/07/2016

    Last modified: 21/07/2016

  8. TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets [pdf]

    Thematic reviews

    Published: 21/07/2016

    Last modified: 21/07/2016

    UK equity market dark pools – Role, promotion and oversight in wholesale markets.

  9. TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets

    Thematic reviews

    Published: 21/07/2016

    Last modified: 29/08/2025

    FCA surveyed the UK equity marketplace, focusing on dark pools and broker crossing networks, by examining promotional activity and the identification and management of conflicts of interest.

  10. TR16/6: Principals and their appointed representatives in the general insurance sector

    Thematic reviews

    Published: 21/07/2016

    Last modified: 29/08/2025

    The review focused on principal firms’ understanding of their responsibilities for their appointed representatives and oversight of their activities.
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