Publications
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Stephen Braviner Roman, diary engagements, October – December 2023 [pdf]
External meetings (excludes meetings with regulated firms), 1 October – 31 December 2023. -
Information on all current article 3 MiFID exempt firms - February 2024
FCA provides information on current article 3 MiFID exempt firms. -
FCA response to the independent panels’ 2022/23 annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports. -
Notice of Decision 2024: Creditmax Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Jordan Leisure Systems Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Information on DP23/5 - advice guidance boundary review - January 2024
FCA provides information on DP23/5 - advice guidance boundary review -
Market Watch 76
Newsletter on market conduct and transaction reporting issues, October 2023. -
Notice of Decision 2024: RG's Autos Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: Spanner Monkeyz Holdings Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Temporary permissions regime (TPR) firms [xlsx]
This document shows which firms under the Temporary permissions regime are now authorised and which firms are not authorised.