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Defined benefit transfer advice review information - October 2020
FCA provides information on the defined benefit transfer advice review. -
Number of UK investment firms and categories information - October 2020
FCA provides information on the number of UK investment firms and by category. -
Enforcement investigations and the Senior Managers Regime information - October 2020
FCA provides information on Enforcement investigations and the Senior Managers Regime. -
Annual Public Meeting 2020: responses to pre-submitted unanswered questions [pdf]
The questions below were submitted prior to the Annual Public Meeting on 24 September 2020, but not answered at the meeting. -
Finalised Guidance: Cancellations and refunds: helping consumers with rights and routes to refunds [pdf]
Following the feedback received, we propose to make some additions to our final guidance which outlines our expectations for insurance and card providers when helping consumers who are trying to claim money back following a cancelled trip or event. -
Handbook Notice 80 [pdf]
This Handbook Notice describes the changes to the FCA Handbook and other material made by the Financial Conduct Authority (FCA) Board under its legislative and other statutory powers on 17 September and 30 September 2020. Where relevant, it also -
Final Notice 2020: Andrew Wareing [pdf]
This final notice (Andrew Wareing) 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 2020: Lilia Pumfrett [pdf]
This final notice (Lilia Pumfrett) 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 2020: Cars77 Limited [pdf]
This final notice (Cars77 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 2020: Mr Balraj Bhalla [pdf]
This final notice (Mr Balraj Bhalla) 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.