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Final Notice 2017: Alan Norman Gregson [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Suspicious transaction and order reports (STOR) figures 2016 [pdf]
Number of Suspicious Transaction Reports (STRs) Received under the Market Abuse Directive (Directive 2003/6/EC) by the FCA for 3 July to 31 December 2016. -
Final Notice 2017: Raj Von Badlo [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Hospitality and Gifts Log – October to December 2016 [pdf]
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Andrew Bailey, Chief Executive - diary engagements - October to December 2016 [pdf]
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Christopher Woolard, Director of Strategy and Competition - diary engagements - October to December 2016 [pdf]
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John Griffith-Jones, Chairman – diary engagements – October to December 2016 [pdf]
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Regulation round-up February 2017 [pdf]
Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector. -
Response to the Complaints Commissioner’s report FCA00190 [pdf]
We have considered the final report of the Complaints Commissioner on complaint FCA00190. -
Response to the Complaints Commissioner’s report FCA00144 [pdf]
We have considered the final report of the Complaints Commissioner on complaint FCA00144.