Publications
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Statistics provided on e-money providers - December 2020
FCA provides statistics on the e-money firms from 2015 to 2020. -
Information on data breaches reported to the FCA in 2020 - December 2020
The FCA provides information on data breaches reported to the FCA during 2019 and to date in 2020, broken down by month. -
Information about firms giving up permissions since the ban on contingent charging - December 2020
The FCA provides information about firms giving up their permissions as a whole or their DB permissions since the FCA decided to ban contingent charging in June 2020. -
PS20/15: High-risk investments: Marketing speculative illiquid securities (including speculative mini‑bonds) to retail investors [pdf]
The FCA has confirmed proposals to permanently ban the mass-marketing of speculative illiquid securities - including speculative mini-bonds - to retail investors. -
Final Notice 2020: LJ Financial Planning Ltd [pdf]
This Final Notice refers to breaches of PRIN 8 and PRIN 9 related to conflicts of interest and failure to provide suitable advice in the Pensions sector. The FCA imposed a financial penalty. -
Final Notice 2020: Claims & Credit Hire Limited [pdf]
This FInal Notice for Claims & Credit Hire Limited (CCHL) has failed to respond to five separate requests for the provision of information considered by the Authority to be necessary to enable it to determine the Application. -
Information on innovation hub collaboration statistics - December 2020
FCA provides information on the number of firms that the Innovation hub has worked with. -
Final Notice 2020: Shruti Patel aka Cindy Brad [pdf]
This Final Notice refers to breaches of FIT by an unapproved mortgage advisor. We imposed a prohibition. -
Information provided on appointed representative application process - December 2020
FCA provides information on appointed representatives application process. -
Supplier Code of Conduct [pdf]
The Supplier Code of Conduct requires suppliers to support the FCA and the PSR to deliver our Mission and Purpose respectively, in a manner consistent with each organisation’s values.