Publications
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Co-operation Agreement between Financial Conduct Authority (FCA) and Hong Kong Monetary Authority (HKMA) [pdf]
Co-operation Agreement between Financial Conduct Authority (FCA) and Hong Kong Monetary Authority (HKMA) -
Final notice 2016: Warranty Management Services Limited [pdf]
This final notice refers to a candidate for approval to perform controlled functions. The applicant firm and candidate did not provide sufficient information to satisfy us that the candidate met the honesty, integrity and reputation and financial -
Our response to key comments from the independent panels’ annual reports for 2015/16 [pdf]
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Payment Service Directive 2 (PSD2) Stakeholder Liaison Group Agenda - 1 December 2016 [pdf]
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TechSprint: unlocking regulatory reporting video transcript [pdf]
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CP16/40: Contracts for differences - enhancing the conduct of business regime infographic [pdf]
This infographic explains our supervision work over the past six years where we identified instances of poor conduct across the CFD sector. -
CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients [pdf]
This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks. -
Why we collect data on Retail Mediation Activities (RMA) [pdf]
A high-level summary of why we collect the data and how it feeds into our supervisory approach. -
CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients
This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks. -
Final Notice 2016: (Be)Spoke Derby Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.