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Notice of Decision to Cancel 2023: Clearbond Law Limited [pdf]
“This decision notice refers to breaches of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 related to payment of charges owed to the FCA. We imposed a cancellation.” -
Final Notice 2023: Susan Mary Jones [pdf]
This Final Notice refers to breaches of Principles for Business 2 related to the provision of unsuitable pension transfer advice in the pensions sector. We imposed a partial prohibition. A payment of £40,888 is being made to the FSCS. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime. -
Notice of Decision 2023: 8ESA LTD [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
FCA letter to Technology Working Group [pdf]
FCA letter to Technology Working Group. -
Information on value of mortgages - November 2023
FCA provides information on value of Mortgages. -
Listing Authority Advisory Panel Annual Report 2022/23 [pdf]
Listing Authority Advisory Panel’s Annual Report for 2022/23. -
Call for Input: Potential competition impacts from the data asymmetry between Big Tech firms and firms in financial services [pdf]
This call for input aims to explore in more detail the feedback from DP22/5 around asymmetry of data and data sharing mechanisms between Big Tech firms and financial services firms. -
Notice of Decision 2023: Freshwinds [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
CP23/23: Prudential assessment of acquisitions and increases in control
We are consulting on proposals to replace EU guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector.