Publications
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Information in relation to Premier FX - May 2021
The FCA provides a chronological list of organisations the Head of the FCA's Claims Management Companies department met with. -
Firms and individuals authorised to provide retail investment advice - May 2021
The FCA responds to multiple questions on firms and individuals authorised to provide retail investments advice. -
Mutual societies registration function: 2020-21
An update on our developments, including how we responded to the coronavirus (Covid-19) pandemic and a breakdown of societies on the register. -
First Supervisory Notice 2021: ICC Intercertus Capital Limited [pdf]
This FSN (ICC Intercertus Capital Limited) concerns the FCA’s use if its power of intervention in respect of a firm operating post-Brexit under the Temporary Permissions Regime. -
Meetings with Head of Claims Management Companies dapartment - May 2021
The FCA provides meeting information for the Head of its Claims Management Companies Department. -
Final Notice 2021: United Claims Management 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 2021: Ron Treherne IFA Ltd [pdf]
This Final Notice (Ron Treherne IFA Ltd) refers to breaches of COND, PRIN 6 and PRIN 11 by a financial adviser. We imposed a cancellation of the adviser’s Part 4A permission. -
Information relating to whistleblowing for 2019 and 2020 - May 2021
The FCA responds to questions relating to whistleblowing for 2019 and 2020. -
Ydych chi wedi derbyn rhybudd diffygdalu? (A4) [pdf]
Taflen wybodaeth -
Default information sheet: May 2021 (mono A4) [pdf]
For consumer credit firms to download and accompany arrears and default notices