Publications
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Reporting of securities financing transactions under UK SFTR after the transition period [pdf]
We explain what TRs, and UK counterparties that use them, should do to make sure they comply with UK Securities Financing Transactions Regulation (UK SFTR) reporting obligations from the end of the transition period. -
Information on number of notices received ceasing to perform senior management or controlled functions due to redundancy, dismissal or suspension - November 2020
FCA provides information on number of notices received ceasing to perform senior management or controlled functions due to redundancy, dismissal or suspension. -
Final Notice 2020: TFS-ICAP Limited [pdf]
This Final Notice refers to breaches of PRIN 2, PRIN 3 and PRIN 5 related to wholesale conduct in the wholesale broker sector. We imposed a financial penalty. -
Copy of FCA email issued on 11 November 2020 [pdf]
Copy of FCA email issued on 11 November 2020 -
Disclosure Guidance and Transparency Rules Chapter 5 (DTR5) [pdf]
Disclosure Guidance and Transparency Rules Chapter 5 (DTR5) -
Portfolio letter: FCA Supervision Strategy for Lloyd’s & London Market Insurers and Others [pdf]
FCA lettr setting out our view of the key potential risks of harm to your customers or the markets you operate in. -
STS notifications user guide [pdf]
This guide explains how to log into Connect and submit STS notifications. -
STS Notification template (public) [xlsx]
Use this template to complete a securitisation STS notification. -
STS Notification template (private, full) [xlsx]
Use this template to complete a securitisation STS notification. -
STS Notification template (private, anonymised) [xlsx]
Use this template to complete a securitisation STS notification.