Publications
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Decision Notice 2022: Richard Adam [pdf]
The Decision Notice (Richard Adam) refers to knowing concern in breaches of the Market Abuse Regulations and Listing Rules, in the issuer’s sector. Our view is that a financial penalty should be imposed. -
Final Notice 2022: Philippe Moryoussef [pdf]
This Final Notice refers to Mr Moryoussef’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Moryoussef from performing any function in relation to a regulated activity -
Decision Notice 2022: Zafar Khan [pdf]
The Decision Notice (Zafar Khan) refers to knowing concern in breaches of the Market Abuse Regulations and Listing Rules, in the issuer’s sector. Our view is that a financial penalty should be imposed. -
Decision Notice 2022: Carillion (in liquidation) [pdf]
The Decision Notice (Carillion (in liquidation)) refers to breaches of the Market Abuse Regulations and Listing Rules, within the issuer’s sector. Our view is that a public censure should be imposed. -
Decision Notice 2022: Richard John Howson [pdf]
The Decision Notice (Richard John Howson) refers to knowing concern in breaches of the Market Abuse Regulations and Listing Rules, in the issuer’s sector. Our view is that a financial penalty should be imposed. -
Listing Authority Advisory Panel Annual Report 21/22 [pdf]
Listing Authority Advisory Panel’s Annual Report for 2021-22 -
PS22/9: A new Consumer Duty [pdf]
We set out the final rules and guidance for a new Consumer Duty that will set higher expectations for the standard of care firms give consumers. -
FG22/5: Final non-Handbook Guidance for firms on the Consumer Duty [pdf]
The Consumer Duty sets the standard of care that firms should give to customers in retail financial markets. -
PS22/9: A new Consumer Duty
We are consulting for a second time on our proposals to set a higher standard of consumer protection in retail financial markets, where firms compete vigorously in the interests of consumers. -
Decision Notice 2022: One Life Funeral Planning [pdf]
This Decision Notice refers to a failure to satisfy threshold conditions (COND) in the Funeral Plans sector. We refused the firm’s application for authorisation.