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Information on market manipulation investigations - September 2024
FCA provides information on market manipulation investigations - September 2024 -
Information on number of authorisation applications - September 2024
FCA provides information on number of authorisation applications - September 2024. -
Notice of Decision 2024: Sian Earl [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
The FCA’s approach to recognition of funds under the Overseas Funds Regime [pdf]
This document gives details of the process and explains some of the factors the FCA will look at when deciding whether an overseas fund meets the conditions for being recognised under the Financial Services and Markets Act 2000. -
OFR Recognition Applications – Enhanced disclosures regarding consumer redress schemes and the potential lack of access to FSCS and FOS [pdf]
Draft disclosure wording that fund operators can use to explain what rights UK investors may have to pursue complaints or compensation. -
Notice of Decision 2024: Vans Direct For You Limited [pdf]
“This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation”. -
Occasional Paper 65 - Annex 2 [pdf]
Is timing of the essence? Testing when to engage UK pension customers - annex 2 -
Occasional Paper 65 - Annex 3 [pdf]
Is timing of the essence? Testing when to engage UK pension customers - annex 3 -
Notice of Decision 2024: South Yorkshire Van Sales [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Overseas Fund Regime: application form questions and associated data set [pdf]
This document provides the application form questions and associated data set to help with the preparation of an application under the OFR.