Publications
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CP16/40: Contracts for differences - enhancing the conduct of business regime infographic [pdf]
This infographic explains our supervision work over the past six years where we identified instances of poor conduct across the CFD sector. -
CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients [pdf]
This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks. -
Why we collect data on Retail Mediation Activities (RMA) [pdf]
A high-level summary of why we collect the data and how it feeds into our supervisory approach. -
CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients
This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks. -
Final Notice 2016: (Be)Spoke Derby Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2016: Pinks Agri Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Review of general insurance intermediaries’ professional indemnity insurance: TR16/9 [pdf]
This report provides the findings from our thematic review into general insurance intermediaries' professional indemnity. -
Response to the Complaints Commissioner’s report FCA00114 [pdf]
We have considered the final report of the Complaints Commissioner on complaint FCA00114. -
Response to the Complaints Commissioner’s report FCA00084 [pdf]
We have considered the final report of the Complaints Commissioner on complaint FCA00084. -
TR16/9: Review of general insurance intermediaries’ professional indemnity insurance
The review evaluates individual policies purchased by a sample of firms to assess whether they complied with our Handbook requirements.