Publications
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Information on enforcement investigations and authorisations applications concerning Crypto- December 2022
FCA provides information enforcement investigations. -
CP22/25: Proposed regulatory framework for pensions dashboard service firms
The FCA has set out the regulatory framework for firms that operate pensions dashboard services. -
Decision Notice 2022: A [pdf]
This Decision Notice refers to breaches of FIT related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed. -
Decision Notice 2022: B [pdf]
This Decision Notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed. -
Decision Notice 2022: C [pdf]
This Decision Notice refers to breaches of APER 1 related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed. -
CP22/24: Broadening access to financial advice for mainstream investments [pdf]
In this consultation paper (CP) we set out our proposals for a new core investment advice regime. -
Final Notice 2022: Julius Baer International Limited [pdf]
This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty -
Credit Rating Agency UK Market Share Report for 2021 [pdf]
This Credit Rating Agency Market Share Report for 2021 gives details of the total market share of UK registered credit rating agencies (CRA), as well as the rating sectors in which they are active. -
Early and high growth oversight webinar on financial promotions – transcript [pdf]
Transcript for the early and high growth oversight webinar on financial promotions. -
CP22/24: Broadening access to financial advice for mainstream investments
We are aiming to allow firms to provide mass-market consumers with straightforward financial needs greater access to simplified advice on investing into mainstream products