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Investigations on various breaches information – October 2021
FCA provides investigations on various breaches information. -
Cum-ex trades investigations information – October 2021
FCA provides cum-ex trades investigations information. -
Final Notice 2021: Shaffarat Parvez [pdf]
This Final Notice (Shaffarat Parvez) refers to a failure to satisfy the Fit and Proper Test (FIT). We imposed a prohibition. -
FCA Internal Consultation [pdf]
FCA internal consultation. -
Warning Notice Statement 21/3 [pdf]
The Financial Conduct Authority gave an individual a warning notice on 16 September 2021 proposing to take action in respect of the conduct summarised in this statement. -
Financial Crime: analysis of firms’ 2017-2020 REP-CRIM data
The FCA provides analysis of the annual financial crime data return (REP-CRIM) submissions for the 3 reporting periods between 2017-2020. -
Adroddiad a Chyfrifon Blynyddol 2020/21 [pdf]
ar gyfer y flwyddyn a ddaeth i ben ar 31 Mawrth 2021 -
Skilled Persons appointments 2017-2021 information – October 2021
FCA provides Skilled Persons appointments 2017-2021 information. -
FCA Q2 2021/22 Number of skilled person reports commissioned [pdf]
Number of skilled persons reports commissioned in Q2 2021/22. -
PS21/12: Assessing value for money in workplace pension schemes and pathway investments: requirements for IGCs and GAAs [pdf]
FCA PS21/12: Assessing value for money in workplace pension schemes and pathway investments: requirements for IGCs and GAAs.