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Final Notice 2020: Corrado Abbattista [pdf]
This Final Notice refers to breaches of FIT and MAR related to market abuse in the trading firm sector. We imposed a prohibition and financial penalty. File updated to include autotag accessibility requirement. -
FCA Financial Instruments Transparency System (FITRS) instructions [pdf]
Instructions on access and download of full and delta transparency files. -
Aggregate complaints data to 2020 H1 [xlsx]
Aggregate sector wide firm complaints data for 2020 H1. Including opened, closed, upheld, speed of closure and redress. -
Firm level complaints data 2020 H1 [xlsx]
Firm level complaints data 2020 H1. For firms submitting 500 or more opened complaints within their six month reporting period, 1,000 or more if they have an annual reporting period. Contains opened, closed, upheld and speed of closure. -
Aggregate complaints data: 2020 H1
This page focuses on complaints that financial services firms reported to us during the first half (H1) of 2020, between 1 January and 30 June 2020. This includes the latest trends and analysis by product group. -
Information on investigations into money laundering - December 2020
The FCA provides data on investigations into money laundering undertaken by the FCA since 2017. -
IFPR reporting instructions [pdf]
IFPR reporting instructions. -
IFPR reporting forms [pdf]
IFPR reporting forms. -
CP20/24: A new UK prudential regime for MiFID investment firms [pdf]
We seek views on the first tranche of our proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR), a new prudential regime for UK firms authorised under MiFID -
Final Notice 2020: PT Cars Ltd [pdf]
This final notice (PT Cars Ltd) 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.