Publications
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FCA Transforming Culture Conference - Event summary and next steps [pdf]
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Letter: Confirmations from Parent Undertaking of Applicant Firm for an Intra-Group Liquidity Modification [pdf]
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Form and content of UK DLG liquidity support undertakings for intra-group liquidity modifications [pdf]
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Form and content of liquidity support undertakings from overseas entities for intra-group liquidity modifications [pdf]
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Memorandum of Understanding between Financial Conduct Authority and Insolvency Service [pdf]
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Memorandum of Understanding between the Financial Reporting Council (FRC) and the Financial Conduct Authority (FCA) [pdf]
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Decision Notice 2018: Darren Lee Newton [pdf]
This decision notice (Darren Lee Newton) refers to breaches of FIT related to client money/assets and a lack of fitness/propriety in the consumer credit sector. Our view is that a prohibition should be imposed. -
Final Notice 2018: Forseti Capital LLP [pdf]
This final notice (Forseti Capital LLP) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the investment advisory sector. We imposed a cancellation. -
Final Notice 2018: Premier Management Partners Limited [pdf]
This final notice (Premier Management Partners Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the investment advisory sector. We imposed a -
Automated investment services - our expectations
The FCA carried out two reviews, the first looking at firms offering automated online discretionary investment management and the second looked at firms providing retail investment advice exclusively through automated channels. The FCA reports back