Publications
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Information on transaction reporting under MiFIR - May 2022
The FCA answers questions regarding transaction reporting under MiFIR. -
Information on Advisors and Intermediaries portfolio insolvency - May 2022
The FCA provides data on the Advisors and Intermediaries Portfolio insolvency. -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
Multi-occupancy buildings insurance letter [pdf]
A letter to the Department for Levelling up, Housing and Communities (DLUHC) providing an update on our review of the multi-occupancy buildings insurance market. -
CultureSprint: supporting and empowering managers to transform culture
The first of its kind, in May 2019, the FCA ran an event to explore solutions to support middle managers to champion culture transformation. -
The FCA's response to Forsyth recommendations [pdf]
See the FCA's actions in response to recommendations made by the Upper Tribunal. -
Information on lead generation firm authorisations - May 2022
The FCA provides data on lead generation firm authorisations. -
Dear CEO letter: Action needed to ensure your financial promotions are clear, fair and not misleading [pdf]
This letter is addressed to credit brokers and firms providing high-cost lending products but may be relevant to other firms involved in these activities. -
Information on Money Laundering reports over past 5 years - May 2022
The FCA provides data on money laundering reports reported to it. -
Innovation Pathways application form guidance [docx]
Innovation Pathways draft application form - copy of key questions and guidance to help answer these.