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FOI4125 response [pdf]
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FOI4350 information provided [pdf]
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FOI4139 information provided [pdf]
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FOI4125 information provided [pdf]
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Warning notice statement 16/1 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 7 December 2015 proposing to take action in respect of the conduct summarised in this statement. -
Minutes of the MiFID II implementation roundtable January 2016 [pdf]
From the meeting held on 6 January 2016 -
Final notice 2016: Lynda Jayne Croome [pdf]
This final notice refers to the Authority’s objection to an acquisition under section 186 (a) FSMA based on an assessment made in accordance with section 185 FSMA that the acquirer lacked suitability. -
Final notice 2016: Knight Home Improvements 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. -
Retirement income market data: July to September 2015 [pdf]
The pension reforms have brought about significant changes in the way consumers can access their pensions. The FCA have collected data from retirement income providers so it can track and monitor changes in the market. -
CP16/1: Consequential changes to the Senior Managers Regime [pdf]
This Consultation Paper (CP) sets out how we intend to implement the consequential changes to rules and forms that will be required prior to commencement of the regime. It also examines the impact that we believe they will have upon the industry and