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FCA RIAAT licensing agreement [pdf]
The right to use the RIAAT is subject to the terms of this RIAAT Licence Agreement. -
Notice of Decision 2024: Regional Legal Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
TR24/1: Retirement income advice thematic review [pdf]
This review supports our work to improve standards across the consumer investment market. -
Notice of Decision 2024: Atech Automotive Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Retirement income advice survey [pdf]
This survey is for completion by Directly Authorised firms, including Principal Firms that have Appointed Representatives (ARs). -
Occasional Paper 64: OTC market frictions in stressed markets [pdf]
Our research shows a substantial link between over-the-counter (OTC) market frictions and the decrease in gilt market liquidity during -
Notice of Decision 2024: Bad Boy Motorz Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Retirement Income Advice Assessment Tool [xlsx]
Our Retirement Income Advice Assessment Tool -
Occasional Paper 64: OTC market frictions in stressed markets
Our research explores the impact of over-the-counter (OTC) market frictions on liquidity in the UK gilt market. -
Portfolio Letter: FCA Strategy For Consumer Lending [pdf]
In this letter we focus on three portfolios in the Consumer Lending market: High-Cost Lending, Mainstream Consumer Credit Lending and Credit Unions. When we refer to ‘Consumer Lending’ throughout this letter, we are only referring to these