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Final Notice 2020: Blue Gate Capital Limited [pdf]
This Final Notice (Blue Gate Capital Limited) refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a requirement to pay restitution and a public censure. -
Independent review into the FSA and FCA's handling of the Connaught Income Fund Series 1 and connected companies [pdf]
The Independent Reviewer, Raj Parker's review of the handling of the Connaught Income Fund Series 1 and connected companies. This PDF has been amended to improve accessibility. -
Independent reviews video transcript [pdf]
Transcript of Charles Randell, Chair of the FCA commenting on the independent reviews -
FG20/4: General guidance on proportionality: the dual-regulated firms Remuneration Code (SYSC 19D) [pdf]
We provide general guidance about the operation of the dual-regulated firms remuneration principles proportionality rule and about part-year dual-regulated firms Remuneration Code staff. -
FG20/5: Dual-regulated firms Remuneration Code (SYSC 19D): FAQs on remuneration [pdf]
We give firms practical information to understand how the EBA Guidelines on sound remuneration policies apply to them, and clarify our dual-regulated firms Remuneration Code. -
FG20/6: IFPRU investment firms Remuneration Code (SYSC 19A) - FAQs on remuneration [pdf]
We give firms practical information to understand how the EBA Guidelines on sound remuneration policies apply to them, and clarify our IFPRU Remuneration Code. -
PS20/16: Updating the dual-regulated firms Remuneration Code to reflect CRD V [pdf]
This PS summarises the feedback we received during the consultation period and our response to it. We set out our final rules on remuneration for dual-regulated firms and revise our previous guidance. -
FCA list of regulated markets [pdf]
List of third-country markets considered as equivalent to a UK regulated market under UK EMIR. -
Report of the Independent Review into the FSA and FCA's handling of the Connaught Income Fund Series 1 and connected companies – The FCA response [pdf]
FCA response to the report of the Independent Review into the FSA and FCA's handling of the Connaught Income Fund Series 1 and connected companies. -
Report of the Independent Investigation into the Financial Conduct Authority's Regulation of London Capital & Finance plc – The FCA Response [pdf]
FCA response to the report of the Independent Investigation into the Financial Conduct Authority's Regulation of London Capital & Finance plc.