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Final Notice 2019: R. Raphael & Sons Plc [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, SYSC 8 relating to culture/governance in the retail bank sector. We imposed a financial penalty. -
FOI6220 Response [pdf]
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Occasional Paper 48: Swing pricing and fragility in open-end mutual funds [pdf]
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Call for Input: Cross-Sector Sandbox [pdf]
The FCA has published a Call for Input to expand and deepen the discussions on whether a cross-sectoral sandbox or similar mechanism is needed to ensure a consistent and efficient approach to emerging technologies. -
EMIR reporting exemption form [pdf]
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Final Notice 2019: Terry John Farr [pdf]
This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition. -
Clearing obligation notification form for FCs and NFCs [pdf]
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Call for Input: Cross-Sector Sandbox
In this paper we set out some of the recent developments across the crowdfunding sector and a number of concerns that we have identified in response. -
Occasional Paper No. 48: Swing pricing and fragility in open-end mutual funds
Traditional pricing models for mutual funds penalize loyal investors and might even fuel panic sell-offs in times of stress. Do alternative pricing methods offer a solution? -
FOI6185 response [pdf]