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The compliance function in wholesale banks [pdf]
In January this year, we sent a questionnaire to 22 wholesale banks asking for information about their compliance function. This exercise was designed to give us greater insight into the changes over the past few years and where the remaining risks -
The compliance function in wholesale banks
We recently reviewed the compliance function in wholesale banks. -
Beesley lecture: From maps to apps: the power of machine learning and artificial intelligence for regulators [pdf]
Speech by Stefan Hunt, Head of Behavioural Economics and Data Science at the FCA, delivered as part of the Beesley lecture series on regulatory economics at the Institute of Directors -
Final notice 2017: Paul Axel Walter [pdf]
This final notice refers to breaches of section 118 FSMA related to market abuse in the trading firm sector. We imposed a financial penalty. -
Institutional Disclosure Working Group: Supplement to the Terms of Reference [pdf]
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Institutional Disclosure Working Group: Summary of discussion 2 November 2017 [pdf]
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Final Notice 2017: Best Broker Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation. -
Completing the application to cancel your firm’s authorisation [pdf]
This document provides information on completing an application to cancel your firm’s authorisation. -
Fund Objectives Working Group: Session 2 [pdf]
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Fund objectives working group: summary of discussion [pdf]
Summary of fund objectives working group discussion on 25 September 2017.