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FOI6219 response [pdf]
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Mutual Societies Declaration Form [pdf]
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Number of skilled persons reports commissioned in Q1 2019/20 [pdf]
Number of skilled persons reports commissioned in Q1 2019/20 -
The FCA’s response to the Complaints Commissioner’s Report FCA00010 [pdf]
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Letter to Lord Myners: Undertakings for Collective Investment in Transferable Securities [pdf]
Letter to Lord Myners regarding a review of the case for the UK establishing its own requirements for liquidity standards for Undertakings for Collective Investment in Transferable Securities. -
Senior Managers and Certification Regime Banking Stocktake Report
The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. -
Final Notice 2019: CTS101 Ltd [pdf]
This final notice (CTS101 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. -
Market Watch 60 [pdf]
In this newsletter, the FCA shares its concerns and findings about control of access to inside information. This follows the conviction of Fabiana Abdel-Malek, a former Compliance officer in the London branch of a major investment bank. It also -
Final Notice 2019: Robert Lea Newell [pdf]
This final notice (Robert Lea Newell) 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. -
Annual return AR30 form: Welsh [docx]
Annual return AR30 form: Welsh