Publications
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Decision Notice 2018: John Lawrence Radford [pdf]
This decision notice refers to breaches of APER 6 and APER 7 related to client money/assets in the general insurance and protection sector. Our view is that a fine and prohibition should be imposed. -
Decision Notice 2018: One Call Insurance Services Limited [pdf]
This decision notice refers to breaches of PRIN 10 and CASS related to client money/assets in the general insurance and protection sector. Our view is that a fine and restriction should be imposed. -
Andrew Bailey, Chief Executive - diary engagements - October to December 2017 [pdf]
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FOI 5442 Response [pdf]
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Final Notice: Interactive Brokers (UK) Limited [pdf]
This final notice refers to breaches of PRIN 3 and SUP 15.10.2R relating to poor market abuse controls and failure to report suspicious client transactions. We imposed a fine. -
Hospitality and Gifts Log – October to December 2017 [pdf]
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Diary engagements - Christopher Woolard - October to December 2017 [pdf]
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Diary engagements - John Griffith-Jones - October to December 2017 [pdf]
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CP18/4: The European Money Market Funds (MMF) Regulation [pdf]
This CP sets out our proposed Handbook changes and approach to FCA fees in relation to the European Money Market Funds Regulation (the MMF Regulation, or the Regulation). -
Fund Objectives Working Group: Session 3 [pdf]