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Information on Authorisations denied - May 2022
The FCA provides data on denied authorisations. -
Information on enforcement investigations into Senior Managers - May 2022
The FCA responds to multiple questions on enforcement investigations into Senior Managers. -
DP22/2: Primary Markets Effectiveness Review: Feedback to the discussion of the purpose of the listing regime and further discussion
This discussion paper continues our work reviewing how effective our primary markets are as part of the FCA’s strategy to promote competition and positive change. -
Information on financial promotions quarterly data - May 2022
The FCA provides additional data on the Financial promotions quaterly data 2022 Q1. -
DBAAT training material: Case study [pdf]
Case study from two day training material for Defined Benefit Advice Assessment Tool (DBAAT) -
Regulatory Initiatives Grid - May 2022 [pdf]
This grid is produced by the Financial Services Regulatory Initiatives Forum. This fifth edition of the Grid contains a range of themes including climate and sustainability, diversity and inclusion (D&I), innovation, wholesale financial markets, and -
DBAAT two day training course material [pdf]
Two day training course material on the Defined Benefit Advice Assessment Tool (DBAAT) -
Regulatory Initiatives Grid - May 2022 Excel version [xlsx]
This Excel version of the fifth edition of the grid is produced by the Financial Services Regulatory Initiatives Forum. -
Financial Services Regulatory Initiatives Forum - Minutes: May 2022 [pdf]
Financial Services Regulatory Initiatives Forum meeting minutes May 2022. The forum is made up of representatives of the Bank of England, Financial Conduct Authority, Prudential Regulation Authority, Payment Systems Regulator, the Competition and -
Information on notifications of senior person amendments or removals - May 2022
The FCA provides data on notifications of senior person amendments or removals.