Publications
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Find and participate in FCA consultations – this section lists our currently open consultations.
Showing 31 to 40 of 44 search results.
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Complaints and root cause analysis: good practice and areas for improvement
The FCA sets out examples of good and poor practice following a thematic review on complaints and root cause analysis. -
Consumer Duty board reports: good practice and areas for improvement
Read the findings of our review into firms’ approaches to completing the first annual Consumer Duty Board report -
Sustainability Disclosure Requirements (SDR) and investment labels: pre-contractual disclosure examples [pdf]
Illustrative examples and approaches to showcase how applicants can meet the disclosure requirements. -
Price and Value Outcome: Good and Poor Practice
This publication collates insights from our supervisory work on the price and value outcome since the introduction of the Consumer Duty. It’s intended to help firms improve the way they think about fair value assessments. -
Principal firms embedding the new rules for effective appointed representative oversight: Good practice and areas for improvement
Our findings on how firms are embedding new AR rules and examples of good practice and areas for improvement for firms to consider. -
Assessing firms’ compliance with ‘back end’ cryptoasset financial promotions rules
The FCA outlines its findings and identifies good and poor practice for the wider sector to consider and make any necessary changes to their own practices. -
Principal firms who have Credit Broking permissions: Good practice and areas for improvements
We assessed the key harms and drivers of harm caused by ARs and IARs who undertake credit broking. We found some examples of good and poor practice that we'd like to share with firms, as we think they can improve their practices. -
Consumer Duty implementation: good practice and areas for improvement
What firms are doing well and what they could do better. -
Firms’ preparations to comply with the cryptoasset financial promotions regime – feedback on good and poor practice
The FCA met with various regulated cryptoasset firms to understand how prepared they were. See findings and examples of good and poor practice. -
Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine
We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions.