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First Supervisory Notice 2023: Independently East Limited [pdf]
For the reasons given in this First Supervisory Notice, the Financial Conduct Authority has decided to impose on Independently East Limited a variation of the Firm’s Part 4A permission to perform regulated activities. -
OPBAS and HMT MLR 46A supervisory update March 2023 [pdf]
Joint OPBAS and HM Treasury supervisory update letter sent to Professional Body Supervisors (PBS) relating to Money Laundering Regulation 46A. -
Information on Temporary Permissions Regime (TPR) - March 2023
FCA provides information on temporary Permissions Regime (TPR). -
CFRF Guide 2023: Scenario anlaysis: Guide for Asset Managers [pdf]
CFRF Scenario Analysis – Asset Management Guide -
CFRF Scenario Analysis: Learning from the 2021/22 Climate Biennial Exploratory Scenario (CBES) [pdf]
Learning from the 2021/22 climate biennial exploratory scenario (CBES) -
FCA’s response to the Complaints Commissioner's report 202201624 [pdf]
FCA’s response to the Complaints Commissioner's report -
FCA Authorisations operating service metrics - March 2023 [pdf]
This update covers the FCA's progress on service standards for authorisations case work, outlining any areas where it is not meeting its statutory and voluntary timelines for authorisations. -
Information on asset management firms - March 2023
FCA provides information on asset management firms - March 2023 -
Information on sanctions breaches - March 2023
FCA provides information on sanctions breaches - March 2023. -
Primary Market Bulletin 44
This edition of the FCA’s Primary Market Bulletin covers board diversity, the requirement for a prospectus where securities are issued pursuant to a scheme of arrangement, primary information providers and MAR Article 17.