Publications
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CFRF Guide 2022: Transition net zero - carbon budget primer financial insuttions [pdf]
This chapter from Climate Financial Risk Forum (CFRF) represents the output from the Transitions Net Zero working group, discussing carbon budgets for financial institutions. -
Understanding approaches to D&I in financial services
The FCA observed how financial services firms are designing and embedding diversity and inclusion strategies. The observations give an overview of initiatives to improve diversity and inclusion, which industry leaders can consider in reviewing their -
Final Notice 2022: Santander UK Plc [pdf]
This Final Notice refers to breaches of PRIN 3 related to the risk of financial crime in the Retail Banking sector. We imposed a financial penalty. -
Future Regulatory Framework (FRF) Review [pdf]
The FCA's approach to FRF implementation. Delivering these outcomes is a key part of the FCA's public commitments. -
Final Notice 2022: BGC Brokers LP, GFI Securities Limited and GFI Brokers Limited [pdf]
This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Trading Firm sector. We imposed a financial -
Insights from the 2021 Cyber Coordination Groups
An overview of insights arising from the discussions held at the FCA’s quarterly Cyber Coordination Group (CCG) meetings throughout 2021. -
Information on crypto assets exchange providers - December 2022
The FCA provides information on crypto assets exchange providers. -
Information on mortgages with advances greater that £5 million - December 2022
FCA provides information on mortgages with advances greater that £5 million - December 2022 -
Decision Notice 2022: Poojan Sheth [pdf]
This Decision Notice refers to breaches of Market Abuse Regulations and Financial Services and Markets Act 2000 related to market abuse and market manipulation in the Investment Bank sector. Our view is that a financial penalty and a prohibition -
Decision Notice 2022: Diego Urra [pdf]
This Decision Notice refers to breaches of Market Abuse Regulations and Financial Services and Markets Act 2000 related to market abuse and market manipulation in the Investment Bank sector. Our view is that a financial penalty and a prohibition