Publications
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TR15/13: Flows of confidential and inside information [pdf]
This paper presents the findings of a process review into how a sample of investment banking firms manage the confidential and inside information they receive and generate. -
Response to the Complaints Commissioner’s Report FCA00053 [pdf]
FCA Ref 4194 -
Mobile phone insurance: Follow-up review findings
This report presents the findings from the FCA's follow-up review of the mobile phone insurance market. -
TR15/13: Flows of confidential and inside information
TR15/13: Flows of confidential and inside information. Thematic reviews First published:. 10/12/2015. Last updated: 10/12/2015. Share page. TR15/13: Flows of confidential and inside information. This report presents the findings from our review of -
Final Notice 2015: Craig Anthony Welborn [pdf]
This final notice refers to breaches of COND and TC related to failing to be open and co-operativein the consumer credit sector. We imposed a refusal. -
PS15/29: Strengthening accountability in banking: Final amendments (including feedback on CP14/13) to the Decision Procedure and Penalties Manual and the Enforcement Guide [pdf]
In this Policy Statement we report on the main enforcement issues for the FCA arising from Consultation Paper FCA CP14/13/PRA CP14/14 Strengthening accountability in banking: a new regulatory framework for individuals. We also publish our final -
TR15/12: Wealth management firms and private banks: suitability of investment portfolios [pdf]
This report presents the findings from our review of suitability of retail investment portfolios provided by wealth management and private banking firms. -
TR15/12: Wealth management firms and private banks: suitability of investment portfolios
Findings from FCA's review of suitability of retail investment portfolios provided by wealth management and private banking firms, includes examples of good and poor practice. -
PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual and the Enforcement Guide
In this policy statement, we set out our amendments to the Decision Procedure and Penalties Manual (DEPP) and the Enforcement Guide (EG), to give guidance on how we will enforce the new accountability regime (including the Senior Managers Regime and -
Final notice 2015: Big T Media Limited [pdf]
The final notice refers to breaches of COND, CONC, PRIN 11, CASS, SYSC related to threshold conditions and failing to be open and co-operative in the consumer credit sector. We imposed a refusal.