Publications
Search results
Showing 161 to 170 of 470 search results for interventions.
-
First Supervisory Notice 2022: Pello Capital Limited [pdf]
This First Supervisory Notice refers to breaches of Prin 3, 4 and 11 related to failing demonstrate that Pello Capital Limited has adequate and appropriate systems and controls to effectively manage risks. Failing to maintain adequate financial -
Primary Market Bulletin 42
This edition of the FCA’s Primary Market Bulletin covers climate disclosures, the National Security and Investment Act, shell companies, and short selling. -
Understanding approaches to D&I in financial services
The FCA observed how financial services firms are designing and embedding diversity and inclusion strategies. The observations give an overview of initiatives to improve diversity and inclusion, which industry leaders can consider in reviewing their -
PS22/15: Improving outcomes in non-workplace pensions
The FCA sets out the final rules to improve outcomes for consumers saving into non-workplace pensions. -
First Supervisory Notice 2022: Lilium Markets Ltd [pdf]
For the reasons given in this First Supervisory Notice, and pursuant to regulation 12(1) and 15 of the Payment Services Regulations 2017 (“the PSR”), the Financial Conduct Authority has decided to vary the registration granted to Lilium Markets -
PS23/1: Extended asset retention requirement for firms under the British Steel Pension Scheme consumer redress scheme
Final rules to extend asset retention rules for certain firms who provided transfer advice to BSPS members. We also summarise feedback to CP22/22. -
Financial promotions quarterly data 2022 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 2022 to 30 September 2022. -
First Supervisory Notice 2022: Umuthi Healthcare Solutions plc [pdf]
Pursuant to section 77(1) and 77(2A) of the Financial Services and Markets Act 2000, the FCA has decided to cancel (or 'discontinue') Umuthi Healthcare Solutions plc from the Official List. -
Matter of fact-sheets: improving consumer comprehension of financial sustainability disclosures
To help consumers better understand sustainability disclosures for investment products, we carried out a programme of behavioural research. -
First Supervisory Notice 2022: Samweb (UK) Ltd [pdf]
For the reasons given in this First Supervisory Notice, and pursuant to section 137S, of the Financial Services and Markets Act 2000, the Financial Conduct Authority has decided to give the following directions ('the Directions”) and, pursuant to