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Information on employment of section 166 powers - January 2022
The FCA provides data on cases it used the section 166 power to commission a skilled person review in relation to financial crime. -
Article 23C Benchmarks Regulation – Notice of permitted legacy use by supervised entities [pdf]
This final Notice replaces the previously published draft version -
Article 23D Benchmarks Regulation – Notice of requirements [pdf]
This final Notice replaces the previously published draft version -
Annex 4 Benchmarks Regulation – Notice of modifications [pdf]
Annex 4 Benchmarks Regulation – Notice of modifications -
Annex 4 Benchmarks Regulation – Additional notice of proposed modifications [pdf]
Annex 4 Benchmarks Regulation – Additional notice of proposed modifications -
Information on carried interest categorised as remuneration - December 2021
The FCA responds to multiple questions regarding if carried interest is categorised as remuneration. -
Request for information regarding FCA complaints - December 2021
The FCA responds to multiple questions regarding FCA complaints. -
Complaints received by the FCA regarding settlements with whistleblowers - December 2021
The FCA answers multiple questions relating to complaints received by the FCA regarding settlements with whistleblowers for the period between 1 January 2015 and 29 November 2021. -
Information on FCA's recent investigation into NatWest - December 2021
The FCA responds to questions regarding its investigation into NatWest for breaches of the Money Laundering Regulations 2007. -
Decision Notice 2021: BlueCrest Capital Management (UK) LLP [pdf]
This decision notice (BlueCrest Capital Management (UK) LLP) refers to breaches of Principle 8 related to conflicts of interest in the asset management sector. Our view is that a financial penalty should be imposed. This decision notice has been