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  1. Occasional Paper No. 24: Behaviour and compliance in organisations

    Occasional papers FCA research

    Published: 16/12/2016

    Last modified: 03/06/2026

    This paper discusses the factors that influence effective compliance and provides suggestions for how regulators and firms can improve levels of compliance.

  2. CP16/43: Markets in Financial Instruments Directive II implementation – Consultation Paper IV

    Consultation papers

    Published: 16/12/2016

    Last modified: 20/02/2017

    We are consulting on our fourth set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook.

  3. Occasional Paper No. 25: Incentivising compliance with financial regulation

    Occasional papers FCA research

    Published: 16/12/2016

    Last modified: 03/06/2026

    This paper looks into the basic economic theory of incentives and how they can be used to enhance compliance in financial regulation.

  4. Regulation round-up December 2016 [pdf]

    Documents

    Published: 15/12/2016

    Last modified: 15/12/2016

    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.

  5. PS16/25: Home finance customers with a payment shortfall: minor Handbook changes and feedback to CP16/16 [pdf]

    Policy statements

    Published: 14/12/2016

    In this Policy Statement we report on the main issues arising from CP16/16 and publish the final rules.

  6. CP16/42: Reviewing the funding of the Financial Services Compensation Scheme (FSCS) [pdf]

    Consultation papers

    Published: 14/12/2016

    This Consultation Paper opens up discussion on the funding of the Financial Services Compensation Scheme (FSCS) and consults on a number of specific changes to the scheme rules.

  7. Home finance customers with a payment shortfall: PS16/25

    Policy statements

    Published: 14/12/2016

    Last modified: 14/12/2016

    We are publishing our final rules for firms when dealing with customers experiencing a payment shortfall, following our consultation in CP16/16.

  8. Final Notice 2016: Warmcool Limited [pdf]

    Final notices

    Published: 13/12/2016

    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  9. Final Notice 2016: Waap Limited [pdf]

    Final notices

    Published: 13/12/2016

    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  10. Final Notice 2016: Macauley Myers Limited [pdf]

    Final notices

    Published: 13/12/2016

    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
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