Publications
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Information on the number of firms with cancelled permissions - December 2020
The FCA provides data on the firms that have had their permission cancelled by the FCA for the last 5 years as at 4 December 2020. -
PS20/16: Updating the Dual-regulated firms Remuneration Code to reflect CRD V
This PS summarises the feedback we received during the consultation period and our response to it. We set out our final rules on remuneration for dual-regulated firms and revise our previous guidance. -
FG20/5: Dual-regulated firms Remuneration Code (SYSC 19D): FAQs on remuneration
We give firms practical information to understand how the EBA Guidelines on sound remuneration policies apply to them, and clarify our Dual-regulated firms Remuneration Code. -
FG20/4: General guidance on proportionality: the Dual-regulated firms Remuneration Code (SYSC 19D)
This guidance relates to the Dual-regulated firms Remuneration Code in SYSC 19D. It explains the operation of the dual-regulated firms remuneration principles proportionality rule, and part-year Dual-regulated firms Remuneration Code staff. -
Supervisory Statement on the Operation of the MiFID Markets Regime after the end of the EU withdrawal transition period [pdf]
This statement sets out how we will operate the pre- and post-trade transparency regime for the secondary trading of financial instruments after the transition period. -
Final Notice 2020: Barclays [pdf]
This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty. -
Final Notice 2020: Corrado Abbattista [pdf]
This Final Notice refers to breaches of FIT and MAR related to market abuse in the trading firm sector. We imposed a prohibition and financial penalty. File updated to include autotag accessibility requirement. -
FCA Financial Instruments Transparency System (FITRS) instructions [pdf]
Instructions on access and download of full and delta transparency files. -
Aggregate complaints data to 2020 H1 [xlsx]
Aggregate sector wide firm complaints data for 2020 H1. Including opened, closed, upheld, speed of closure and redress. -
Firm level complaints data 2020 H1 [xlsx]
Firm level complaints data 2020 H1. 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.