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Information on any incomplete or non-disclosure of value statements - July 2021
The FCA provide information on sanctions against incomplete or non-disclosure of value statements by wealth and asset management firms, -
Data on Organisations seeking permission on operation of electronic platforms for lending - July 2021
FCA providing data on organisation seeking permissions to operate electronic platforms for lending since 2014 to July 2021. -
CP21/24: Diversity and inclusion on company boards and executive committees [pdf]
We are consulting on a proposal to change our Listing Rules to require in scope companies to disclose publicly in their annual financial report whether they meet specific board diversity targets relating to gender and ethnicity on a ‘comply or -
Decision Notice 2021: Markos Theodosi Markou [pdf]
This Decision Notice refers to what the FCA considers to be a breach of Principle 1 of APER. The FCA's view is that the individual acted recklessly, is not fit and proper and therefore a financial penalty and a full prohibition should be imposed. -
MIFIDPRU 3.3.3(1)R application: permission to classify an issuance of capital instruments [docx]
Application under MIFIDPRU 3.3.3(1)R for permission to classify an issuance of capital instruments as common equity tier 1 (CET1) capital. -
Dear CEO letter: SME Lending - our expectations of firms in reporting BBLS fraudulent activity [pdf]
Dear CEO letter: SME Lending - our expectations of firms in reporting BBLS fraudulent activity -
Application for Authorisation MIFIDPRU Supplement Form [docx]
Application for Authorisation. MIFIDPRU Supplement Form -
Application under MIFIDPRU 2.4.17R for permission to apply the group capital test to an investment firm group instead of prudential consolidation [docx]
Application under MIFIDPRU 2.4.17R for permission to apply the group capital test to an investment firm group instead of prudential consolidation -
Application under MIFIDPRU 2.5.34R(2) for permission to use offsetting positions when calculating K-NPR on a consolidated basis [docx]
Application under MIFIDPRU 2.5.34R(2) for permission to use offsetting positions when calculating K-NPR on a consolidated basis -
Application under MIFIDPRU 2.5.19R for exemption from consolidated liquidity requirements. [docx]
Application under MIFIDPRU 2.5.19R for exemption from consolidated liquidity requirements.