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Information on additional AIFMD Annex IV volume data - November 2024
FCA provides information on additional AIFMD Annex IV volume data. -
Handbook Notice 123 [pdf]
This Handbook Notice describes the changes to the FCA Handbook and other material made by the Financial Conduct Authority (FCA) Board under its legislative and other statutory powers on 29 October 2024 and 31 October 2024. -
Notice of Decision 2024: Clive Garnett [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
FG24/5: Prudential assessment of acquisitions and increases in control [pdf]
The FCA sets out expectations on how to identify controllers and submit the change in control notification. -
Warning Notice Statement 24/4 [pdf]
The FCA gave Crispin Odey a warning notice on 18 September 2024 proposing to take action in respect of the conduct summarised in this statement -
Notice of Decision 2024: The Colour Copier Company Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Cambridge Motor Company Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Sustainability Disclosure Requirements (SDR) and investment labels: pre-contractual disclosure examples [pdf]
Illustrative examples and approaches to showcase how applicants can meet the disclosure requirements. -
FG24/5: Prudential assessment of acquisitions and increases in control
The FCA sets out guidance firms should follow from 1 November 2024 to identify controllers for the purposes of FSMA. -
Final Notice 2024: Paul Adams [pdf]
This Final Notice refers to breaches of APER 6 and APER 7 related to a failure to provide suitable pension transfer advice to defined benefit pension customers.