Publications
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Showing 111 to 120 of 470 search results for interventions.
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IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime. -
First Supervisory Notice 2023: KBFS Financial Limited [pdf]
We have imposed a number of restrictions on KBFS Financial Limited preventing it from carrying on any regulated activities and restricting access to its assets. -
IRHPs: Detailed Grounds of Defence [pdf]
Independent review into the supervisory intervention on Interest Rate Hedging Products: Detailed Grounds of Defence. -
Anti-fraud controls and complaint handling in firms (with a focus on APP Fraud)
This publication sets out the key findings from our review of how firms mitigate the risks of APP fraud and fraud attacks more broadly. -
Financial promotions quarterly data 2023 Q3
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 July 2023 and 30 September 2023. -
Proceeds of fraud - Detecting and preventing money mules
We share the key findings from our review of payment account providers’ systems and controls against money mule activity. -
First Supervisory Notice 2023: IBP Markets Limited [pdf]
On 15 September 2023, we imposed a number of restrictions on IBP Markets Limited stopping it from carrying on any regulated activities due to concerns about the way it conducts its business, including about client money protections at the firm. -
First Supervisory Notice 2023: London Court Limited [pdf]
For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on London Court Limited with immediate effect. -
Improving the Appointed Representatives regime through greater use of data
This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and -
Information on report of sexual misconduct - September 2023
FCA provides information on report of sexual misconduct.