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Informed position letters for clients of insolvent firms [pdf]
Template of letter explaining to customers that they may be entitled to redress, setting out their options and outlining how they can make a claim to the Financial Services Compensation Scheme. -
Final Notice 2021: Omar Hussein [pdf]
This Final Notice refers to breaches of APER 1 and 7 related to failing to act with integrity and failing to demonstrate that suitable advice was given in the pensions sector. We imposed a financial penalty, withdrawal and prohibition. -
PS21/13: LIBOR transition and the derivatives trading obligations [pdf]
This Policy Statement sets out our finalised amendments consulted in CP21/22 -
FCA Board Minutes: 3 September 2021 [pdf]
Minutes of the FCA Board meeting held on 3 September 2021 -
Financial promotions quarterly data 2021 Q3
The FCA publishes data on the number of financial promotions that have been amended or withdrawn due to non-compliance with the FCA's rules. This data is for 2021 Q3. -
Information on whistleblowing cases - October 2021
The FCA provides data on number of whistleblowing cases for sexual harassment in 2020 across financial services. -
Income drawdown by 55-year-olds information – October 2021
FCA provides income drawdown by 55-year-olds information -
PS21/13: LIBOR transition and the derivatives trading obligation
We have modified the list of derivatives subject to the derivates trading obligation (DTO) in line with Articles 28 and 32 of UK MiFIR. -
FOI8621 - Annex A [csv]
FOI8621 - Annex A -
UK SFTR validation rules - April 2022 [xlsx]
An update to the UK SFTR validation rules. These amendments will apply from 11 April 2022.