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Second Supervisory Notice 2019: VS1 Business Services (Europe) Ltd [pdf]
Second Supervisory Notice 2019: VS1 Business Services (Europe) Ltd -
Final Notice 2021: David Nicholas King [pdf]
This Final Notice (David Nicholas King) refers to FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a prohibition. -
Financial promotions quarterly data 2021 Q2
The FCA publishes data on the number of financial promotions that have been amended or withdrawn due to non-compliance with the FCA's rules. This data is for 2021 Q2. -
CP21/23: PRIIPs - Proposed scope rules and amendments to Regulatory Technical Standards [pdf]
We are consulting on amendments to the Packaged Retail and Insurance based Investment Products (PRIIPs) disclosure regime. -
Final Notice 2021: Transfer Gurus Ltd [pdf]
This final notice (Transfer Gurus Ltd) refers to a failure to demonstrate a willingness to comply with regulatory obligations, and to deal with the Authority in an open and co-operative way in the payment services sector. In order to protect the -
Connect Beta & Track My Application – An Overview [pdf]
FCA guide and overview to Connect Beta and Track my Application. -
FCA letter to the Insolvency Service on debt packager firms [pdf]
FCA letter to the Insolvency Service on debt packager firms -
Insolvency Service letter on debt packager firms [pdf]
Insolvency Service's response to debt packager firms. -
Final Notice 2021: Safe Claims Limited [pdf]
This final notice (Safe Claims Limited) refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation. -
Finalised Guidance on the fair treatment of vulnerable customers - FAQs [pdf]
Our Guidance provides clarity on what firms should do to