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Final Notice 2020: Net Direct Car Sales Limited [pdf]
This final notice (Net Direct Car Sales 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, General Insurance and -
Final Notice 2020: John Joseph Cullen (trading as Bankpark Motors) [pdf]
This final notice (John Joseph Cullen (trading as Bankpark Motors)) 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 consumer credit sector. We imposed a -
Information on new insider dealing or market abuse cases per month from January 2018 to May 2020 - June 2020
FCA provides information on new insider dealing or market abuse cases per month from January 2018 to May 2020. -
Occasional Paper 50: Addendum [pdf]
Addendum to Occasional Paper 50: Quantifying the High-Frequency Trading ‘Arms Race’: A Simple New Methodology and Estimates -
FCA Board Minutes: 13 May 2020 [pdf]
FCA Board Minutes: 13 May 2020 -
Information on advice given to defined benefit pension scheme members by approved firms - June 2020
FCA provides information on advice given to defined benefit pension scheme members by approved firms. -
Securities Financing Transactions Regulation (SFTR) registration form [docx]
Application for registration for trade repositories providing services under the Securities Financing Transactions Regulations (SFTR). -
Securities Financing Transactions Regulation (SFTR) notes [docx]
Trade repository notes for applying to provide services under the Securities Financing Transactions Regulation (SFTR). -
TR20/1: The effectiveness of Independent Governance Committees and Governance Advisory Arrangements [pdf]
We have reviewed the effectiveness of Independent Governance Committees (IGCs) and Governance Advisory Arrangements (GAAs) in improving value for money (VfM) of workplace pensions for customers. -
CP20/9: Driving value for money in pensions [pdf]
FCA consultation on how Independent Governance Committees (IGCs) and Governance Advisory Arrangements (GAAs) compare the value for money (VfM) of pension products and services and promote the best value for pension scheme members.