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Supplement for securities and futures firms (complex) – notes [doc]
These notes help answer questions in the Supplement for securities and futures firms (complex) form. It also helps explain why we require the information we ask you for. -
FCA response to the Complaints Commissioner's Report:FCA00851 [pdf]
FCA response to the Complaints Commissioner's Report: FCA00851. -
Supplement for firms selling investment and home finance [doc]
This supplement collects information that is specific to the type of business that the applicant firm is applying for. -
Information related to Whistleblowing - March 2021
The FCA provides data regarding whistleblowing. -
Application for authorisation - Supplement for firms selling investments and non-investment insurance contracts (notes) [doc]
Notes to help you fill in the supplement correctly. -
Welsh Language Scheme Annual Report for 2019/20 to the Welsh Language Commissioner [pdf]
Welsh Language Scheme Annual Report for 2019/20 to the Welsh Language Commissioner. -
Adroddiad Blynyddol Cynllun Iaith Gymraeg ar gyfer 2019/20 i Gomisiynydd y Gymraeg [pdf]
Pwrpas yr adroddiad monitro hwn yw amlinellu’r cynnydd sydd wedi’i wneud gan yr Awdurdod Ymddygiad Ariannol (yr FCA) yn ystod 2019/20 wrth ddarparu gwasanaethau yn unol â’n Cynllun Iaith Gymraeg ac adnabod meysydd i’w gwella yn y dyfodol. -
First Supervisory Notice 2021: Raedex Consortium Ltd [pdf]
First Supervisory Notice for Raedex Consortium Ltd. -
Information regarding Complaints against the FCA - March 2021
The FCA provides data relating to complaints against the FCA. -
Cum/ex trading strategies that pertain to dividend arbitrage - March 2021
The FCA responds to questions about cum/ex trading strategies that pertain to dividend arbitrage.