Publications
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FCA Board Minutes: 27 June 2019 [pdf]
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First Supervisory Notice 2019: SVS Securities Plc [pdf]
This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm. -
Memorandum of understanding between the Competition and Markets Authority and the Financial Conduct Authority – consumer protection [pdf]
This memorandum of understanding sets out working arrangements between the Competition and Markets Authority (CMA) and Financial Conduct Authority (FCA) in relation to consumer protection matters in the financial services sector. There is a separate -
Memorandum of understanding between the Competition and Markets Authority and the Financial Conduct Authority – concurrent competition powers [pdf]
This memorandum of understanding sets out working arrangements between the Competition and Markets Authority (CMA) and Financial Conduct Authority in relation to competition in the financial services sector. There is a separate memorandum of -
Transcript: Inside FCA interview with Jonathan Davidson and Jayne-Anne Gadhia [docx]
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Fixed income ETFs: primary market participation and resilience of liquidity during periods of stress [pdf]
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ETF primary market participation and liquidity resilience during stress events
This FCA report sets out actions and recommendations to improve the availability and awareness of alternatives to high-cost credit. -
FOI6274 response [pdf]
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FOI6216 response [pdf]
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FOI6215 response [pdf]