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Information on regulated firms dealing with investments - 6 December 2021
The FCA responds to multiple questions on regulated firm permissions for investments and pensions. -
CP21/35: Quarterly Consultation Paper No. 34 [pdf]
We want to know what you think of our proposals. Comments should reach us by 10 January 2022 for Chapter 2, 3, 5 and 6, and 17 January 2022 for Chapter 4. -
CP21/34: Improving the Appointed Representatives regime [pdf]
We propose changes to the Appointed Representatives (AR) regime to reduce potential harm to consumers and markets. -
Update regarding the future of Liverpool Victoria [pdf]
Our response to questions on the proposed sale of Liverpool Victoria Financial Services (LV) to Bain Capital -
FCA Practitioner Panel joint survey report 2021 [pdf]
The FCA and the Practitioner Panel report from our 2021 joint survey of FCA regulated firms. -
Climate Financial Risk Forum: Call for Interest [pdf]
A call for interest to organisations to apply for Climate Financial Risk Forum (CFRF) membership. -
Climate Financial Risk Forum: Terms of Reference [pdf]
Terms of reference for Climate Financial Risk Forum membership. -
CP21/35: Quarterly Consultation Paper No. 34
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. -
Final Notice 2021: Donna Worsfold [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation. -
PS21/22: Primary Market Effectiveness Review: Feedback and final changes to the Listing Rules [pdf]
This Policy Statement summarises the feedback received to CP21/21, setting out our policy response to a review of the effectiveness of our primary markets.