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First Supervisory Notice 2021: FXBFI Broker Financial Invest Ltd [pdf]
This First Supervisory Notice concerns the FCA’s use if its power of intervention in respect of a firm operating post-Brexit under the Temporary Permissions Regime. -
Pure protection contract data reported by Life Insurers - May 2021
The FCA responds to questions regarding pure protection contract data reported by Life Insurers. -
Underlying data for Montly PPI complaints before and during campaign - May 2021
The FCA provides the data for the numbers of PPI complaints from Jan 2017 to Aug 2019. -
FS21/8: Feedback to consultation paper on liquidity mismatch in authorised open-ended property funds [pdf]
We consulted on whether property funds should be required to have notice periods before an investment can be redeemed. -
CP21/12: A new authorised fund regime for investing in long term assets [pdf]
This consultation paper sets out proposals for a new category of authorised open‑ended fund called the long‑term asset fund (LTAF). -
Regulatory Initiatives Grid - May 2021 Excel version [xlsx]
This Excel version of the grid is produced by the Financial Services Regulatory Initiatives Forum. It lists 128 initiatives, an increase on the 111 in the second edition published in September 2020. -
Regulatory Initiatives Grid - May 2021 [pdf]
This grid is produced by the Financial Services Regulatory Initiatives Forum. This third edition of the Grid contains 128 initiatives, an increase on the 111 in the second edition published in September 2020. -
Financial Services Regulatory Initiatives Forum - Minutes: April 2021 [pdf]
Financial Services Regulatory Initiatives Forum meeting minutes April 2021. The forum is made up of representatives of the Bank of England, Financial Conduct Authority, Prudential Regulation Authority, Payment Systems Regulator, the Competition and -
FS21/8: Feedback to consultation paper on liquidity mismatch in authorised open-ended property funds
We consulted on reducing the potential for investor harm where the terms for dealing in some property funds are not aligned with the time it takes to buy or sell the buildings in which the funds invest in. -
Final Notice 2021: Sapien Capital Limited [pdf]
This Final Notice (Sapien Capital Limited) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.