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Final Notice 2018: Marcel Rochester [pdf]
This final notice (Marcel Rochester) refers to breaches of Principle 11 and SUP related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
National Westminster Bank plc: Programme Designation Attestation [pdf]
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CP18/11: Reviewing the funding of the Financial Services Compensation Scheme (FSCS): feedback from CP17/36, final rules and new proposals for consultation [pdf]
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5 Conduct Questions: Industry Feedback for 2016 [pdf]
The 5 Conduct Questions are part of the FCA's strategy for supervising wholesale banks. This 2016 industry feedback is to help large and small firms consider if any of the approaches to conduct may be effective in their own organisations. -
Number of skilled persons reports commissioned in Q4 2017/18 [pdf]
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5 Conduct Questions: Industry Feedback for 2017 [pdf]
The 5 Conduct Questions are part of the FCA's strategy for supervising wholesale banks. This 2017 industry feedback is to help large and small firms consider if any of the approaches to conduct may be effective in their own organisations. -
The FCA’s response to the Complaints Commissioner’s Report FCA00442 [pdf]
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Taflen wybodaeth am - Diffyg talu - mono version - August 2018 [pdf]
Os ydych wedi derbyn hysbysiad diffyg talu yn rhybuddio am gamau posibl yn eich erbyn dyma rywfaint o wybodaeth bwysig i’ch helpu. -
CP18/11: Reviewing the funding of the Financial Services Compensation Scheme (FSCS)
We have made final rules to change how the FSCS is funded and are consulting on changes to our Professional Indemnity Insurance (PII) requirements for Personal Investment Firms (PIFs). -
Application to become a professional body anti-money laundering supervisor [doc]
Application to become a professional body anti-money laundering supervisor