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Information relating to the high-cost short-term credit sector - March 2020
The FCA provides information on the the high-cost short-term credit sector (HCSTC) -
FCA requests a delay to the forthcoming announcement of preliminary financial accounts [pdf]
FCA requests a delay to the forthcoming announcement of preliminary financial accounts. -
First Supervisory Notice 2020: Triton Insurance Brokers Ltd [pdf]
We varied the firm’s permission and imposed requirements on the firm. -
Information on the number of regulated advice firms who have given up defined benefit (DB) pension transfer permissions - March 2020
The Information on the number of regulated advice firms who have given up defined benefit (DB) pension transfer permissions between 1 April 2019 and 28 February 2020. -
Warning Notice Statement 20/1 [pdf]
The Financial Conduct Authority gave an individual a warning notice on 19 March 2020 proposing to take action in respect of the conduct summarised in this statement. -
OPBAS: Progress and themes from 2019 [pdf]
The purpose of this report is to provide an overview of Anti-Money Laundering (AML) supervision by the Professional Body Supervisors (PBSs) at the end of 2019. -
First Supervisory Notice 2020: Uncle Buck Finance LLP [pdf]
First Supervisory Notice 2020: Uncle Buck Finance LLP -
inside-fca-transcript-cyber-resilience-and-security.pdf [pdf]
Read the transcript for the Inside FCA Podcast interview with Robin Jones on cyber security and resilience. -
Information on the FCA's Advice Unit - March 2020
The FCA provides information on the number of firm's who have applied for the FCA's Advice Unit, and more. -
Information regarding investigations into spoofing - March 2020
The FCA provides information on the number of active investigations into spoofing, and the number opened in 2018 and 2019.