Publications
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CP24-12: Consultation on the new Public Trading Offers and Admissions to the Trading Regulations regime (POATRs) [pdf]
Consultation on our proposals to implement the new POATRs regime replacing the prospectus regime. -
CP24/13: Consultation on the new public offer platform regime [pdf]
The FCA proposes rules for a new regime that will allow firms to help companies making public offers of securities to investors outside public markets. -
CP24/14: Consultation on the derivatives trading obligation and post-trade risk reduction services [pdf]
TTP DTO direction expires 31 December. FSMA 2023 (art 28a) gives us power of Direction. -
Notice of Decision 2024: Clark Steven Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Final Notice 2024: Geoffrey Bernard Turner [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition -
Notice of Decision 2024: Bennett P Limited, trading as Snap-on; Snap-on Diagnostics; and Snap-on Tools [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Final Notice 2024: CB Payments Limited [pdf]
This Final Notice refers to a breach of Statement of Principle 2 related to breaches of voluntary requirements (VREQ) in the e-money sector. The FCA imposed a financial penalty of £3,503,546. -
Notice of Decision 2024: AM Marketing Group Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation. -
Notice of Decision 2024: JS Quality Furniture Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activity. We imposed a Cancellation. -
Notice of Decision 2024: Excell EPOS Systems Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activity. We imposed a Cancellation.