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Warning Notice Statement 21/4 [pdf]
The Financial Conduct Authority gave a firm a Warning Notice on 16 September 2021 proposing to take action in respect of the conduct summarised in this statement. -
Our ESG Strategy: Upcoming milestones [pdf]
Our key workstreams, the themes and Business Plan outcomes to which they relate, and the key milestones to the end of 2022. -
DP21/4: Sustainability Disclosure Requirements and investment labels
We are seeking initial views on new sustainability disclosure requirements for asset managers and FCA-regulated asset owners, as well as a new classification and labelling system for sustainable investment products -
A strategy for positive change: our ESG priorities
The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy. -
FCA response to the Complaints Commissioner's Report: FCA00806 [pdf]
The FCA's response to the Complaints Commissioner's Report: FCA00806 -
FCA response to the Complaints Commissioner's Report: FCA001167 [pdf]
The FCA's response to the Complaints Commissioner's Report: FCA001167 -
Final Notice 2021: Colin Bermingham [pdf]
This Final Notice (Colin Bermingham) refers to breaches of FIT related to Lack of fitness/propriety in the Investment Banking. We imposed a prohibition. -
Regulatory Initiatives Grid - November 2021 Excel version [xlsx]
This Excel version of the grid is produced by the Financial Services Regulatory Initiatives Forum. There are 134 initiatives in the November Regulatory Initiatives Grid. -
Regulatory Initiatives Grid - November 2021 [pdf]
This grid is produced by the Financial Services Regulatory Initiatives Forum. This fourth edition of the Grid contains 134 initiatives, an increase on the 128 in the second edition published in May 2021. -
Financial Services Regulatory Initiatives Forum - Minutes: October 2021 [pdf]
Financial Services Regulatory Initiatives Forum meeting minutes October 2021. The forum is made up of representatives of the Bank of England, Financial Conduct Authority, Prudential Regulation Authority, Payment Systems Regulator, the Competition