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UK SFTR validation rules - April 2022 [xlsx]
An update to the UK SFTR validation rules. These amendments will apply from 11 April 2022. -
Annual whistleblowing reports and categories information – October 2021
FCA provides annual whistleblowing reports and categories information. -
FCA Supervision Strategy for Lloyd’s & London Market Insurers and Others (LLM) [pdf]
Portfolio letter: FCA Supervision Strategy for Lloyd’s & London Market Insurers and Others (LLM) September 2021. -
Mortgage sales data by borrower income information – October 2021
FCA provides mortgage sales data by borrower income information. -
Investigations on various breaches information – October 2021
FCA provides investigations on various breaches information. -
Cum-ex trades investigations information – October 2021
FCA provides cum-ex trades investigations information. -
Final Notice 2021: Shaffarat Parvez [pdf]
This Final Notice (Shaffarat Parvez) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition. -
FCA Internal Consultation [pdf]
FCA internal consultation. -
Warning Notice Statement 21/3 [pdf]
The Financial Conduct Authority gave an individual a warning notice on 16 September 2021 proposing to take action in respect of the conduct summarised in this statement. -
Financial Crime: analysis of firms’ 2017-2020 REP-CRIM data
The FCA provides analysis of the annual financial crime data return (REP-CRIM) submissions for the 3 reporting periods between 2017-2020.