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Primary Market Technical Note: Restrictions on transfer - UKLA / TN / 101.2 (Amendment) [pdf]
Primary Market Technical Note: Restrictions on transfer - UKLA / TN / 101.2 (Amendment) -
Primary Market Technical Note: Ratification circulars - UKLA / TN / 204.2 (Amendment) [pdf]
Primary Market Technical Note: Ratification circulars - UKLA / TN / 204.2 (Amendment) -
CP24/28: Operational Incident and Third Party Reporting [pdf]
We are consulting on proposals for firms to report operational incidents and their material third party arrangements. -
Notice of Decision 2024: Synergy Autos Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Jayden Fox Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Primary Market Technical Note: Sponsors: Joint sponsors – communications with the FCA - UKLA / TN / 716.1 (Amendment) [pdf]
Primary Market Technical Note: Sponsors: Joint sponsors – communications with the FCA - UKLA / TN / 716.1 (Amendment) -
Primary Market Technical Note: Open-ended investment companies - Primary Market / TN / 423.2 (Amendment) [pdf]
Primary Market Technical Note: Open-ended investment companies - Primary Market / TN / 423.2 (Amendment). -
Portfolio letter: Our supervisory strategy for benchmark administrators - December 2024 [pdf]
The FCA sets out its views on the key risks identified in the portfolio, our expectations, and a summary of the work we intend to do over the next 2 years. -
Primary Market Technical Note 722.1: Responsibilities of a sponsor: Specialist due diligence [pdf]
Primary Market Technical Note 722.1: Responsibilities of a sponsor: Specialist due diligence -
Primary Market Technical Note 723.1: FCA reviews of sponsor services [pdf]
Primary Market Technical Note 723.1: FCA reviews of sponsor services