Publications
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FOI6806 Response [pdf]
FOI6806 Response -
FOI6732 Response [pdf]
FOI6732 Response -
FOI6818 Response [pdf]
FOI6818 Response -
FOI6817 Response [pdf]
FOI6817 Response -
FOI6755 Response [pdf]
FOI6755 Response -
FOI6711 Response table [pdf]
FOI6711 Response table -
Information on fines and active or closed investigations since January 2018 - April 2020
The FCA provides information on any fines levied and the number of active or closed investigations since January 2018 for breaching requirements under Directive 2014/65/EU (MiFID II) and Regulation (EU) No 600/2014 (MiFIR) to report RTS 24 order -
Final Notice 2020: Sandstone Solihull Limited [pdf]
This final notice (Sandstone Solihull Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Final notice 2020: Powerplay-UK Performance Vehicles Limited [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Information on the number of investigations the FCA has opened into businesses - April 2020
The FCA provides information on the number of investigations opened into businesses over the last two years.