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Information on whistleblowing reports for 2019 to 2021 - May 2022
The FCA provides data on whistleblowing reports for 2019 to 2021. -
Handbook Notice 98 [pdf]
This Handbook Notice describes the changes to the FCA Handbook and other material made by the Financial Conduct Authority (FCA) Board under its legislative and other statutory powers on 24 March 2022, 22 April 2022 and 28 April 2022. -
Final Notice 2022: Charanjit Sandhu [pdf]
This Final Notice (Charanjit Sandhu) refers to breaches of FIT. We imposed a prohibition. -
Final Notice 2022: Jeanine Lewis [pdf]
This Final Notice ( Jeanine Lewis) refers to breaches of FIT. We imposed a prohibition. -
Final Notice 2022: Hugh Edwards [pdf]
This Final Notice (Hugh Edwards) refers to breaches of FIT. We imposed a prohibition. -
Final Notice 2022: Stuart Rea [pdf]
This Final Notice (Stuart Rea) refers to breaches of FIT. We imposed a prohibition. -
CP22/08: Protecting investors in authorised funds following the Russian invasion of Ukraine [pdf]
We are consulting on proposals to address the potential harm caused by the exposure that UK authorised retail funds have to affected investments. -
Final Notice 2022: Michael Mendonca Nascimento [pdf]
This Final Notice (Michael Mendonca Nascimento) refers to breaches of FIT. We imposed a prohibition. -
Aggregate complaints data to 2021 H2 [xlsx]
Aggregate sector wide firm complaints data for 2021 H2. Including opened, closed, upheld, speed of closure and redress. -
Firm level complaints data 2021 H2 [xlsx]
Firm level complaints data 2021 H2. For firms submitting 500 or more opened complaints within their six month reporting period, 1,000 or more if they have an annual reporting period. Contains opened, closed, upheld and speed of closure.