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Final Notice 2019: Phillips Motorcycles 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. -
MS17/1.3: Investment Platforms Market Study Final Report [pdf]
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Final Notice 2019: Highstone Car Company 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. -
Supervisory Statement on the Operation of the MiFID Transparency Regime post-Brexit [pdf]
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FCA Board Minutes: 23 and 24 January 2019 [pdf]
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PS19/29: Making transfers simpler – feedback to CP19/12 and final rules
CP19/12: Consultation on Investment Platforms Market Study Remedies -
CP19/13: Recovering the costs of the Office for Professional Body Anti-Money-laundering Supervision (OPBAS): further consultation on fees structure
In this consultation paper, we feed back on the outcome of the consultation we conducted in October 2018 (CP18/32) on the variable fee we will charge professional body supervisors (PBSs) in 2018/19 to recover the costs of establishing and running -
How the temporary permissions regime (TPR) and financial services contracts regime (FSCR) will enable EEA-based firms to continue operating in the UK after Brexit [pdf]
How the TPR and FSCR will enable EEA-based firms to continue operating in the UK after the end of the transition period. -
Final Notice 2019: The Carphone Warehouse Limited [pdf]
This final notice (The Carphone Warehouse Limited) refers to breaches of PRIN 3, 6 and 9 related to mis-selling in the general insurance and protection sector. We imposed a fine. -
Contingency Exemption Request Form [pdf]