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Market Watch 66
In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking. -
Final Notice 2021: Garrick Financial Services Ltd [pdf]
This Final Notice refers to a failure to satisfy threshold conditions (COND) in the claims management sector. We refused the firm’s application for authorisation. -
Final Notice 2020: All Accident Claims Limited [pdf]
This Final Notice refers to a failure to satisfy threshold conditions (COND) in the claims management sector. We refused the firm’s application for authorisation. -
Form TMPR CH: notification to amend a recognised EEA UCITS [doc]
Notification of certain changes to an EEA UCITS scheme and any sub-funds which are in the TMPR as required by Regulations 65 and 66 of the Collective Investment Schemes (Amendment etc.) (EU Exit) Regulations 2019. -
The coronavirus (Covid-19) financial resilience survey data
The results from the FCA's financial resilience surveys that were sent to 23,000 regulated firms. Through the surveys the FCA is understanding the real-time effect the pandemic is having on the finances of the firms it prudentially regulates. -
Data on transaction reporting - January 2021
The FCA provides information on multiple questions regarding transaction reporting. -
The FCA's response to Complaint Commissioner Report FCA00769 [pdf]
The FCA's response to the Complaints Commissioner's Report FCA00769. -
Multilateral MoU concerning consultation, cooperation and the exchange of information between each of the EEA competent authorities and the FCA [pdf]
Multilateral MoU concerning consultation, cooperation and the exchange of information between each of the EEA competent authorities and the FCA -
Memorandum of Understanding concerning consultation, co-operation and the exchange of information between ESMA and the FCA [pdf]
MoU concerning consultation, cooperation and the exchange of information between ESMA and the FCA -
TPR firms with BCD, EMD or PSD activities [csv]
This sheet is for the purpose of Open Banking and is limited to showing firms in the TPR which previously held passports under the Second E-money Directive, Payment Services Directive or Banking Consolidation Directive.