Publications
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Progress of sales through stages of the review [pdf]
Progress of interest rate hedging product sales through stages of the review as at 30 September 2016. -
Our response to the CMA’s final report on its investigation into competition in the retail banking market [pdf]
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Our response to the CMA’s final report on its investigation into competition in the retail banking market
We have set out the actions we will take forward in the retail banking market in response to a number of recommendations from the Competition and Markets Authority (CMA). -
Final notice 2016: Big Green Company (Energy) Limited [pdf]
This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2016: Daniel Peter Terrence Forsyth [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
FCA Decision Notice 2016: Steven Maoudis trading as Montana Debt Management [pdf]
This decision notice refers to the FCA’s belief that Steven Maoudis trading as Montana Debt Management does not meet the minimum standards for authorisation to carry on regulated activities. Our view (subject to the Upper Tribunal’s determination -
Final Notice 2016: Adam Philip Hawkins [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
FCA filing rules [xlsx]
Validation rules for CRD IV are defined by the EBA. In addition to validation rules, we also apply filing rules based on the EBA published rules and additional rules exclusively for UK filers. -
Final Notice 2016: Scott Michael Crawley [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2016: Dale Robert Walker [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.