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September 2014: Internal Audit report: A review of authorisation processes for dual-regulated firms [pdf]
This document was submitted to the Treasury Committee on 01 October 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury -
September 2014: Internal Audit report: A review of the adequacy and effectiveness of controls for Software Asset Management (SAM) [pdf]
This document was submitted to the Treasury Committee on 01 October 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury -
Final Notice 2015: Kweku Mawuli Adoboli [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment bank sector. We imposed a prohibition. -
Regulation round-up - October 2015 [pdf]
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Final Notice 2015: A A A Insurance Limited [pdf]
This final notice refers to breaches of PRIN 11 related to Threshold Conditions and failing to be open and co-operative in the general insurance and protection. We imposed a cancellation. -
Final Notice 2015: Benbron Solutions Limited [pdf]
This final notice refers to breaches of PSR related to Payment Services Regulations and failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
Financial Advice Market Review (FAMR) Call for input [pdf]
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Minutes: FCA Board 29 & 30 July 2015 [pdf]
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Call for Inputs on competition in the mortgage sector [pdf]
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CP15/31: Strengthening accountability in banking and insurance: regulatory references [pdf]
In partnership with the Prudential Regulation Authority (PRA), we are consulting on proposals for regulatory references as part of the wider package of reforms that aim to improve accountability in banks and insurers.