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Decision Notice 2024: Adrian Stuart Westbrook Douglas [pdf]
This Decision Notice (Adrian Stuart Westbrook Douglas) refers to a breach of APER Statement of Principle 1 related to the reckless design of a pension transfer advice model in the pensions sector and a lack of fitness and property in designing and -
Notice of Decision 2024: J U Autos UK Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: CFG (Commercial Finance Group) Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Final Notice 2024: Saranac Partners Limited [pdf]
This final notice refers to the FCA’s refusal of the Applicant’s application under section 60 of FSMA for approval of an individual to perform the Senior Manager functions of SMF1 (Chief Executive function) and SMF3 (Executive Director function). -
CP24/18: Quarterly Consultation Paper No. 45
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want your feedback on our proposals. -
Principal firms embedding the new rules for effective appointed representative oversight: Good practice and areas for improvement
Our findings on how firms are embedding new AR rules and examples of good practice and areas for improvement for firms to consider. -
FCA response to the Complaints Commissioner’s Report 202400142 [pdf]
FCA response to the Complaints Commissioner’s Report 202400142. -
Market cleanliness statistics 2023/24
The FCA presents the Market Cleanliness Statistic, Abnormal Trading Volume the Potentially Anomalous Trading Ratio and for 2023/24. -
FCA response to the Complaints Commissioner’s Report 202300638 [pdf]
FCA response to the Complaints Commissioner’s Report 202300638. -
Our positive impact 2024 [pdf]
This FCA report highlights the benefits of our activities to consumers and markets.