Publications
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Final Notice 2024: Floris Jakobus Huisamen [pdf]
This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We -
FCA Authorisations operating service metrics 2023/24 Q3
The FCA reports on its authorisations metrics quarterly, to provide greater transparency of its performance. This data covers October to December 2023. -
Authorisations operating service metrics 2023/24 Q3 [pdf]
This 2023/24 Q3 update covers the FCA's progress on service standards for authorisations case work. -
Primary market effectiveness podcast [mp3]
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Inside FCA Podcast: Interview with Mark Austin and Clare Cole on listing reform and primary market effectiveness [pdf]
Inside FCA Podcast: Transcript of interview with Mark Austin and Clare Cole on listing reform and primary market effectiveness. -
Notice of Decision 2024: Millstream BMW [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: KBFS Financial Limited [pdf]
Headnote sentence: KBFS Financial Limited -
Final Notice 2024: Victoria Snoddy [pdf]
This Final Notice (Victoria Snoddy) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a new firm authorisation application. We have refused the Application. -
Final Notice 2024: Nicholas Andrew McNeil [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. -
Reducing and preventing financial crime
We are providing an update on our progress and looking ahead to identify 4 areas of focus in the coming year.