Publications
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Investing in a social enterprise [pdf]
How to gather information on what you can invest in, and the protections you are entitled to. -
Forming a social enterprise [pdf]
Steps and considerations for forming a social enterprise. -
Call for Input: Regulatory Barriers to Social Investments [pdf]
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Final Notice 2015: Paivi Grigg [pdf]
This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine. -
FCA decision notice 2015: Charles Palmer [pdf]
This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty -
Mobile phone insurance: Follow-up review findings [pdf]
This report presents the findings from our follow-up review of the mobile phone insurance market. -
TR15/13: Flows of confidential and inside information [pdf]
This paper presents the findings of a process review into how a sample of investment banking firms manage the confidential and inside information they receive and generate. -
Response to the Complaints Commissioner’s Report FCA00053 [pdf]
FCA Ref 4194 -
Mobile phone insurance: Follow-up review findings
This report presents the findings from the FCA's follow-up review of the mobile phone insurance market. -
TR15/13: Flows of confidential and inside information
TR15/13: Flows of confidential and inside information. Thematic reviews First published:. 10/12/2015. Last updated: 10/12/2015. Share page. TR15/13: Flows of confidential and inside information. This report presents the findings from our review of