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Whistleblowing poster 3 [pdf]
Bringing to light financial wrongdoing at work? Good call. -
Whistleblowing employee leaflet [pdf]
Information for firm employees on how to blow the whistle with the FCA. -
Whistleblowing poster 4 [pdf]
Suspect shady dealings? Help us look into it. -
Whistleblowing poster 5 [pdf]
Poster for firms to show their employees where they can get help. -
Firms in the Temporary Permission Regime (TPR) - March 2021
The FCA provides a list of firms in the Temporary Permissions Regime (TPR) as at 19/03/21. -
Cum-Ex Investigations and cryptocurrency questions - March 2021
The FCA responds to multiple questions regarding investigations relating to Cum-Ex and Cryptocurrency. -
Understanding self-directed investors [pdf]
Understanding self-directed investors: a summary report of research conducted for the Financial Conduct Authority (FCA). -
MIC codes for UK Regulated Markets [pdf]
Regularly updated list of ID codes for UK regulated markets, multilateral trading facilities and organised trading facilities. -
Controlled Function holders question and data request - March 2021
The FCA provides data regarding the Controlled Function holders roles opened and closed over five years. -
Memorandum of Understanding between the FCA and USCFTC on cooperation and exchange of information in the context of supervising covered firms [pdf]
Memorandum of Understanding between the FCA and USTFTC on cooperation and exchange of information in the context of supervising covered firms.