Publications
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Going beyond ‘capital at risk’: Behaviourally informed risk warnings for high-risk investment products [pdf]
We tested the standard risk warning when considering investing in high-risk investments against warnings with clearer information. -
Final Notice 2022: Capital Investements Limited [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
Pausing, reading, and reflecting: decision points in high-risk investment consumer journeys [pdf]
We tested the effect of introducing other ’decision points’ into the high-risk investment consumer journey. -
Research Notes: Improving outcomes for consumers considering investing in high-risk investments
We've published 3 Research Notes on behavioural interventions we tested to improve outcomes for consumers considering investing in high-risk investments. -
Information on Money Laundering Reporting Officer - January 2022
The FCA provides information on the turnover of Money Laundering Reporting Officers in firms in 2021. -
Final Notice 2022: Evest Limited [pdf]
This Final Notice (Evest Limited) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed a -
Final Notice 2022: Reece Klewchuck [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation. -
Final Notice 2022: INZMO Europe GmbH [pdf]
This Final Notice (INZMO Europe GmbH) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed -
Final Notice 2022: Arumpro Capital Limited [pdf]
This Final Notice (Arumpro Capital Limited) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We -
Final Notice 2022: Clarity Vehicle Management Limited [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.