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User Guide: registering for the FCA’s new data collection platform [pdf]
This user guide provides a step-by-step guide on how to register for the new data collection platform via Gabriel. -
Information on the number of regulated firms providing specific financial services - March 2020
The FCA provides information on the number and names of regulated firms providing financial services. -
Information about regulatory reporting made by firms for their UK authorised funds in 2019 - March 2020
The FCA provides information about regulatory reporting made by firms for their UK authorised funds in 2019. -
Market Data Processor (MDP) Disconnection form [doc]
Market Data Processor (MDP) Disconnection form -
Final Notice 2020: Awesome 3 Limited [pdf]
This final notice (Awesome 3 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. -
Information relating to complaints against the FCA - March 2020
The FCA provides information relating to complaints against the FCA, including the full 2019 data as per FOI6618. -
Further Final Notice 2020: Lloyd Arnold Pope [pdf]
This Final Notice (Lloyd Arnold Pope) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and -
Further Final Notice 2020: Robert Ian Shaw [pdf]
This Final Notice (Robert Ian Shaw) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and -
Information relating to the high-cost short-term credit sector - March 2020
The FCA provides information on the the high-cost short-term credit sector (HCSTC) -
FCA requests a delay to the forthcoming announcement of preliminary financial accounts [pdf]
FCA requests a delay to the forthcoming announcement of preliminary financial accounts.