Publications
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How the temporary permissions regime (TPR) and financial services contracts regime (FSCR) will enable EEA-based firms to continue operating in the UK after Brexit [pdf]
How the TPR and FSCR will enable EEA-based firms to continue operating in the UK after the end of the transition period. -
Final Notice 2019: The Carphone Warehouse Limited [pdf]
This final notice (The Carphone Warehouse Limited) refers to breaches of PRIN 3, 6 and 9 related to mis-selling in the general insurance and protection sector. We imposed a fine. -
Contingency Exemption Request Form [pdf]
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Digital Regulatory Reporting video transcript [pdf]
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Digital Regulatory Reporting: Pilot Phase 1 Report [pdf]
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Commentary on Mortgage lending statistics - March 2019
Mortgage lenders and administrators submit a Mortgage Lending and Administration Return (MLAR) each quarter to the FCA and Bank of England, providing data on their mortgage lending activities. This commentary covers the MLAR statistics for 2018 Q4. -
Themes from the 2018 OPBAS anti-money laundering supervisory assessments [pdf]
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CP19/11: Securitisation (Amendment) (EU Exit) Regulations 2019 and Securitisation Regulations 2018 (proposed changes to DEPP and EG) [pdf]
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FG19/2: Senior Managers and Certification Regime: Guidance on statements of responsibilities and Responsibilities Maps for FCA firms [pdf]
This final guidance provides practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities and Responsibilities Maps. -
PS19/8: Increasing the award limit for the Financial Ombudsman Service [pdf]