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Final Notice 2019: Goldman Sachs International [pdf]
This final notice (Goldman Sachs International) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine. -
Claims Management - Supplement - Form [docx]
Claims Management - Supplement - Form -
Claims Management - Individual - Form [docx]
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Claims Management - Individual - Notes [docx]
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Claims Management - Supplement - Notes [docx]
Claims Management - Supplement - Notes -
Handbook Notice 64 [pdf]
This Handbook Notice describes certain changes to the Handbook, Binding Technical Standards and other material made by the Financial Conduct Authority (FCA) Board under its legislative and other statutory powers on 28 February and 28 March 2019. -
Product intervention measures for retail binary options [pdf]
The FCA sets out its final position and Handbook rules to permanently prohibit the sale, marketing and distribution of binary options to retail consumers by firms that carry out activity in, or from, the UK. -
PS19/10: Recovering the costs of regulating credit rating agencies, trade repositories and securitisation repositories after the UK leaves the European Union [pdf]
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PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies [pdf]
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Brexit: our approach to non-Handbook guidance where it relates to EU-law or EU-derived law [pdf]
This document sets out our approach to existing non-Handbook guidance where it relates to EU law or EU-derived law.