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Final Notice 2025: James Edward Staley [pdf]
This Final Notice refers to breaches of the Senior Management Conduct Rules and Individual Conduct Rules relating to integrity and the disclosure of information to and relations with regulators. We have issued a Final Notice to impose a financial -
Final Notice 2025: Mr Jean-Noel Yves Alba [pdf]
This Final Notice has breaches of APER 1 and 4 and Individual Conduct Rule 1 and 3 (not acting with integrity/dealing with us openly) with a prohibition and fine. -
Notice of Decision 2025: Mr Aleem Ahmed T/A AA Motors [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Primary Market Bulletin 57
This edition of the FCA’s Primary Market Bulletin covers updates to guidance, consultations on prospectus and sponsor regime guidance, and changes for the National Storage Mechanism. -
Primary Market Technical Note 507.2: Structured digital reporting for annual financial statements prepared in accordance with International Financial Reporting Standards [pdf]
Primary Market Technical Note: Structured digital reporting for annual financial statements prepared in accordance with International Financial Reporting Standards. -
Primary Market Technical Note 520.3: Delaying disclosure/dealing with leaks and rumours [pdf]
Primary Market Technical Note: Delaying disclosure/dealing with leaks and rumours. -
Primary Market Technical Note 506.3: Periodic financial information and inside information [pdf]
Primary Market Technical Note: Periodic financial information and inside information. -
Primary Market Technical Note 542.3: Issuer's obligations [pdf]
Primary Market Technical Note: Issuer's obligations. -
Primary Market Technical Note 521.4: Assessing and handling inside information [pdf]
Primary Market Technical Note; Assessing and handling inside information. -
Primary Market Technical Note 638-1 (draft consultation): Guidance on application of complex financial history and significant financial [pdf]
Primary Market Technical (amendment): Guidance on application of complex financial history and significant financial.