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Research Notes: Improving outcomes for consumers considering investing in high-risk investments
We've published 3 Research Notes on behavioural interventions we tested to improve outcomes for consumers considering investing in high-risk investments. -
Information on Money Laundering Reporting Officer - January 2022
The FCA provides information on the turnover of Money Laundering Reporting Officers in firms in 2021. -
Final Notice 2022: Evest Limited [pdf]
This Final Notice (Evest Limited) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed a -
Final Notice 2022: Reece Klewchuck [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation. -
Final Notice 2022: INZMO Europe GmbH [pdf]
This Final Notice (INZMO Europe GmbH) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed -
Final Notice 2022: Arumpro Capital Limited [pdf]
This Final Notice (Arumpro Capital Limited) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We -
Final Notice 2022: Clarity Vehicle Management Limited [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation. -
Final Notice 2022: Esfera Capital, Agencia de Valores, S.A. [pdf]
This Final Notice (Esfera Capital) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed a -
First Supervisory Notice 2021: Probitas Fidelis Limited [pdf]
For the reasons given in this notice, and pursuant to regulation 12(1) of the PSR, the Authority has decided to vary the authorisation granted to Probitas by imposing with immediate effect the following requirements. -
Industry testing data submission profile [xlsx]
The FCA’s Financial Instruments Reference Data System (FCA FIRDS) industry testing for CANINS file submissions.