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Mutual societies registration function: 2021-22
An update on our work and a breakdown of societies on the register. -
Information on non-financial misconduct and financial misconduct allegations - May 2022
The FCA provides information on the types of allegations received by its whistleblowing team. -
OPBAS view on the SRA’s consultation on financial penalties [pdf]
In November 2021, the SRA consulted on its approach to financial penalties. In March 2022, we wrote to the SRA with our view on this consultation. -
FG22/3: Finalised Guidance (non-Handbook) on parts of the UK MMF Regulation [pdf]
FG22/3: Finalised Guidance (non- Handbook) on parts of the UK MMF Regulation. -
DP22/1: Resilience of Money Market Funds [pdf]
DP22/1: Resilience of Money Market Funds -
Second Supervisory Notice 2022: AJH Financial Services Limited [pdf]
On 14 February 2022, the FCA announced it had stopped AJH Financial Services Limited from disposing of assets without FCA permission. -
DP22/1: Resilience of Money Market Funds
We’re asking for your views on how to strengthen the resilience of Money Market Funds. -
Information on authorisation of Claims Management Companies - May 2022
The FCA provides information on the authorisation of Claims Management Companies. -
Information on insider dealing and breaches of the FCA Handbook - May 2022
The FCA provides information on Number of people sanctioned, fined, reprimanded or excluded for breaching FCA Handbook Rules and insider dealing. -
FS22/2: Driving Value for Money in Defined Contribution Pensions
We set out the feedback we received on our proposed framework to assess and promote Value for Money in all FCA and TPR-regulated Defined Contribution pension schemes