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Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
PS21/6: Implementation of Investment Firms Prudential Regime [pdf]
This is the first Policy Statement we will issue to introduce the IFPR. It summarises feedback received to CP20/24, our response and sets out near-final rules -
Mortgages Product Sales Data (PSD) monthly tables 2020 [xlsx]
The FCA collects data from the firms it regulates on what products they are selling. Firms operating in the mortgages sector submit product transaction data to us. These tables are for 2020. -
Retail Investments Product Sales Data (PSD) Tables 2020 [xlsx]
The FCA collects data from the firms it regulates on what products they are selling. Firms operating in the retail investments sector submit product transaction data to us quarterly. These tables are for 2020. -
Mortgages Product Sales Data (PSD) quarterly tables 2020 [xlsx]
The FCA collects data from the firms it regulates on what products they are selling. Firms operating in the mortgages sector submit product transaction data to us quarterly. These tables are for 2020. -
Product Sales Data Pure Protection Contracts Tables 2020 [xlsx]
The FCA collects data from the firms it regulates on what products they are selling. Firms operating in the protection sector submit product transaction data to us quarterly. These table are for 2020. -
Dear CEO Letter: (Retail Banks portfolio only) common control failings identified in anti-money laundering frameworks in retail banks (2021) [pdf]
Dear CEO Letter: (Retail Banks portfolio only) common control failings identified in anti-money laundering frameworks in retail banks (2021). -
Final Notice 2021: Jamie Burgin (trading as Rivelin Motors) [pdf]
This final notice (Jamie Burgin (trading as Rivelin Motors)) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a -
Final Notice 2021: Harrison Memorials Limited [pdf]
This final notice (Harrison Memorials Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation. -
Final Notice 2021: Crosfill & Archer Claims Limited [pdf]
This Final Notice refers to breaches of breach of the Conduct of Authorised Persons Rules 2014 (“CAPR”) related to unfair treatment of customers in the claims management sector. We imposed a financial penalty.