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Notice of Decision 2023: Tusk Capital Management Limited [pdf]
This Notice of Decision (Tusk Capital Management Limited) refers to a failure to carry on regulated activities. We imposed a cancellation. -
Information on thematic review of retirement income advice - September 2023
FCA provides information on thematic review of retirement income advice. -
Decision Notice 2023: Darren Antony Reynolds [pdf]
This Decision Notice (Darren Antony Reynolds) refers to breaches of APER 1 and FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty and prohibition should be -
Final Notice 2023: Andrew John Deeney [pdf]
This Final Notice (Andrew John Deeney) refers to breaches of APER 1 related to the provision of unsuitable defined benefit pension transfer advice in the pensions and investments sector. We imposed a financial penalty and prohibition. -
Our supervision strategy for corporate finance firms: portfolio letter [pdf]
Letter outlines harms to consumers and markets the FCA thinks are most likely to arise from corporate finance firms' business models. -
Our platforms supervision strategy: portfolio letter [pdf]
Update on FCA's view of key harms in this sector, its expectations and a summary of the work it intends to do. -
Improving the Appointed Representatives regime through greater use of data
This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and -
CP23/21: Consumer Credit – Product Sales Data Reporting [pdf]
This Consultation Paper seeks views on our proposal to introduce 3 new Product Sales Data (PSD) returns into Chapter 16 of the Supervision manual (SUP 16). -
Financial Promotions for high-risk investments
We outline the findings of our review of how firms offering restricted mass market investments (RMMIs) have complied with new rules on the customer journey. We identify examples of good and poor practice for the wider sector to consider and make any -
British Steel Pension Scheme: Ongoing reporting requirements user guide [pdf]
A user guide to assist firms in complying with reporting requirements.