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Notice of Decision to Cancel 2023: Trenton Law Limited [pdf]
“This decision notice refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to payment of charges owed to the FCA. We imposed a cancellation.”. -
GC23/3: Guidance on the Anti-Greenwashing rule [pdf]
We are consulting on new guidance that sets out our expectations for any FCA authorised firm that makes claims about the sustainability of a product or service. -
PS23/16: Sustainability Disclosure Requirements (SDR) and investment labels [pdf]
This Policy Statement (PS) contains our final rules and guidance to improve trust and transparency to the market for sustainable investment products. -
Notice of Decision 2023: Surrey Auto Group Limited [pdf]
“This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation”. -
Sustainability Disclosure Requirements (SDR) and investment labels regime (Qualitative Research) [pdf]
This document presents the high-level findings of research commissioned by the Financial Conduct Authority (FCA) on sustainability disclosures. -
PS23/16: Sustainability Disclosure Requirements (SDR) and investment labels
We set out our final rules and guidance to help consumers navigate the market for sustainable investment products. -
Final Notice 2023: David Nigel Lewis [pdf]
This Final Notice refers to breaches of Principles for Business 6 and 7 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £26,800 is being made to the FSCS. -
Notice of Decision to Cancel 2023: Clearbond Law Limited [pdf]
“This decision notice refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to payment of charges owed to the FCA. We imposed a cancellation.” -
Final Notice 2023: Susan Mary Jones [pdf]
This Final Notice refers to breaches of Principles for Business 2 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £40,888 is being made to the FSCS. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime.