Publications
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Dear CEO letters
Find our published Dear CEO letters. -
Authorisation and registration applications – good practice and areas for improvement
Examples of good practice and areas for improvement from the applications that we have seen. -
Multi-firm review of algorithmic trading controls: high-level observations
The FCA reviewed a sample of principal trading firms to assess their compliance with MiFID Regulatory Technical Standards (RTS) 6 and identify any areas of weakness in firms’ algorithmic control frameworks. -
Risk management and wind-down planning at e-money and payments firms – multi-firm review
The FCA has published findings on enterprise and liquidity risk management and wind-down planning. Find out about expectations, good practice and areas for improvement. -
PS25/5: Our Enforcement Guide and greater transparency of our enforcement investigations
Discover our proposed new approach to publicising our enforcement investigations and changes to our Enforcement Guide. -
CP25/14: Stablecoin issuance and cryptoasset custody
The FCA asked for views on proposed rules and guidance for the activities of issuing a qualifying stablecoin and safeguarding qualifying cryptoassets. -
Smaller asset managers and alternatives business model review: our findings
Find out how to benchmark sound risk management practices and better understand regulatory expectations. -
PS25/3: Consumer credit regulatory returns: credit broking, debt adjusting, debt counselling and providing credit information services
Final rules and guidance on a new regulatory reporting return for consumer credit firms who engage in regulated activities of credit broking, debt adjusting, debt counselling or providing credit information services. -
Multi-firm review of trading apps: high-level observations
Findings from the FCA review on trading apps or 'neo-brokers'. -
FS25/2: Immediate areas for action and further plans for reviewing FCA requirements following introduction of the Consumer Duty
Feedback on how the FCA could simplify its Consumer Duty requirements and its planned approach. -
Multi-firm review of liquidity risk management at wholesale trading firms
This paper summarises our observations from the multi-firm review of liquidity risk management at a range of wholesale trading (sell-side) firms.