Publications
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PS21/17: A new UK prudential regime for MiFID investment firms
This is the third in a series of policy statements that set out our rules to introduce the Investment Firms Prudential Regime IFPR regime. -
CP21/32: Improving outcomes in non-workplace pensions [pdf]
We are consulting on proposed rules for firms operating NWPs. Because we have found evidence of some NWP consumers finding it difficult to identify appropriate investments, or leaving large amounts of their pension pot in cash. -
CP21/31: Changes to reporting requirements, procedures for data quality and registration of Trade Repositories under UK EMIR [pdf]
This is a joint consultation with the Bank of England, setting out our proposals to amend the framework for derivatives reporting under UK EMIR. -
Whistleblowing quarterly data 2021 Q3
Our data shows the number of new whistleblowing reports the FCA received in July to September and the allegations they featured. -
First Supervisory Notice 2021: Frensham Wealth Limited [pdf]
For the reasons given in this First Supervisory Notice (Frensham Wealth Limited), and pursuant to section 55J of the Act, the Authority has decided to vary the Part 4A permission of Frensham Wealth Limited. The Authority has further decided to -
Annual Public Meeting 2021: Responses to unanswered questions [pdf]
The questions below were submitted to the Annual Public Meeting on 28 September 2021, but not answered at the meeting. -
Number and value of mortgages with advances greater than £5 million - November 2021
The FCA provides data on mortgages with advances greater than £5 million. -
Information on advice firms advising members of the Rolls-Royce DB scheme - November 2021
FCA responds to questions regarding advice firms advising members of the Rolls-Royce DB scheme. -
Annual notification form [docx]
Guidance in relation to our sponsor competence requirements (LR 8.6.7R (2)), including advice on completing the relevant sections of the annual notification form, can be found in FCA Technical Note 714.2 and 715.1. -
Statement on The Housing Disrepair Group Limited [pdf]
The FCA has refused The Housing Disrepair Group Limited’s application to be authorised to conduct claims management regulated activities