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Decision Notice 2022: A [pdf]
This Decision Notice refers to breaches of FIT related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed. -
Decision Notice 2022: B [pdf]
This Decision Notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed. -
Decision Notice 2022: C [pdf]
This Decision Notice refers to breaches of APER 1 related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed. -
CP22/24: Broadening access to financial advice for mainstream investments [pdf]
In this consultation paper (CP) we set out our proposals for a new core investment advice regime. -
Final Notice 2022: Julius Baer International Limited [pdf]
This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty -
Credit Rating Agency UK Market Share Report for 2021 [pdf]
This Credit Rating Agency Market Share Report for 2021 gives details of the total market share of UK registered credit rating agencies (CRA), as well as the rating sectors in which they are active. -
Early and high growth oversight webinar on financial promotions – transcript [pdf]
Transcript for the early and high growth oversight webinar on financial promotions. -
CP22/24: Broadening access to financial advice for mainstream investments
We are aiming to allow firms to provide mass-market consumers with straightforward financial needs greater access to simplified advice on investing into mainstream products -
CP22/23: Regulatory fees and levies: policy proposals for 2023/24 [pdf]
This consultation paper sets out our proposed policy changes to the way we will raise FCA fees from 2022/23. -
Final Notice 2022: Leigh Sutcliffe (trading as AVS) [pdf]
This Final Notice (Leigh Sutcliffe (trading as AVS)) 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.