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Final Notice 2024: Philip Pryke [pdf]
This Final Notice (Philip Pryke) refers to breaches of APER 1 and FIT related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a prohibition and a financial penalty. -
Notice of Decision 2024: Spent Worm Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
CP24/2, Part 2: Greater transparency of our enforcement investigations [pdf]
Update on progress with this Consultation Paper. -
Notice of Decision 2024: Abbey Court Car Sales Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Information on prospectus regulation rules and the listing rules - November 2024
FCA provides information on prospectus regulation rules and the listing Rules. -
Final Notice 2024: András Sebők [pdf]
This Final Notice refers to breaches of the Market Abuse Regulations by a PDMR for trading during closed periods and for trade disclosure failings. -
CP24/24: The MiFID Organisational Regulation [pdf]
We are consulting on proposals to transfer the firm facing requirements of the MiFID Org Reg into FCA handbook rules. -
Notice of Decision 2024: Commercial Expert Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
CRA Market Share Report 2023 [pdf]
The FCA has published its third annual Market Share Report for UK registered credit rating agencies. -
PS25/13: The MiFID Organisational Regulation
We summarise the feedback we received to CP24/24 and Chapter 4 of CP24/11 and set out our final rules to transfer the firm-facing requirements of the MiFID Org Reg into FCA Handbook rules.