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FCA Authorisations update [pdf]
FCA Authorisations update - October 2022. -
Information on compliance cases - October 2022
FCA provides information on compliance cases opened in last 5 calendar years. -
FCA Authorisations Update - October 2022 Annex 1 [pdf]
FCA Authorisations Update - October 2022 Annex 1. -
Whistleblowing quarterly data 2022 Q2
Our data shows the number of new whistleblowing reports the FCA received in April to June 2022 and the allegations they featured. -
Final Notice 2022: Simon Tyson [pdf]
This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty -
FCA response to Complaint's Commisioneer's Report FCA001677 [pdf]
The FCA response to Complaint's Commissioner's Report FCA001677 -
The FCA response to Complaint's Commissioner's Report FCA001707 [pdf]
The FCA response to Complaint's Commissioner's Report FCA001707 -
Final Notice 2022: Stephen John Tomlin [pdf]
This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article -
Final Notice 2022: Matthew Charles Kent [pdf]
This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial -
Final Notice 2022: Sigma Broking Limited [pdf]
This Final Notice (Sigma Broking Limited) refers to breaches of SUP 17, SUP 15, PRIN 3 and Article 16 of MAR related to market abuse and transaction reporting failures in the trading firm sector. We imposed a financial penalty.