Publications
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Impact Assessment: PS19/16: High Cost Credit Review: Overdrafts (Pricing and Repeat Use Interventions) [pdf]
We are required by the Financial Services and Markets Act 2000 (FSMA) to report to Parliament at least annually on our overall performance, through our Annual Report. We published the 2019/20 Annual Report on 10 September 2020. -
Information on open FCA enforcement investigations - December 2020
The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020. -
PS20/17: Proposals to enhance climate-related disclosures by listed issuers and clarification of existing disclosure obligations
We summarise the feedback to our consultation proposals in CP20/3 and confirm our final policy position. -
Final Notice 2020: Blue Gate Capital Limited [pdf]
This Final Notice (Blue Gate Capital Limited) refers to breaches of PRIN 2 and PRIN 7 related to financial promotions in the asset management sector. We imposed a requirement to pay restitution and a public censure. -
Independent review into the FSA and FCA's handling of the Connaught Income Fund Series 1 and connected companies [pdf]
The Independent Reviewer, Raj Parker's review of the handling of the Connaught Income Fund Series 1 and connected companies. This PDF has been amended to improve accessibility. -
Independent reviews video transcript [pdf]
Transcript of Charles Randell, Chair of the FCA commenting on the independent reviews -
FG20/4: General guidance on proportionality: the dual-regulated firms Remuneration Code (SYSC 19D) [pdf]
We provide general guidance about the operation of the dual-regulated firms remuneration principles proportionality rule and about part-year dual-regulated firms Remuneration Code staff. -
FG20/5: Dual-regulated firms Remuneration Code (SYSC 19D): FAQs on remuneration [pdf]
We give firms practical information to understand how the EBA Guidelines on sound remuneration policies apply to them, and clarify our dual-regulated firms Remuneration Code. -
FG20/6: IFPRU investment firms Remuneration Code (SYSC 19A) - FAQs on remuneration [pdf]
We give firms practical information to understand how the EBA Guidelines on sound remuneration policies apply to them, and clarify our IFPRU Remuneration Code. -
PS20/16: Updating the dual-regulated firms Remuneration Code to reflect CRD V [pdf]
This PS summarises the feedback we received during the consultation period and our response to it. We set out our final rules on remuneration for dual-regulated firms and revise our previous guidance.