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CP21/28: New cancellation and variation power: Changes to the Handbook and Enforcement Guide [pdf]
We are seeking views on the third tranche of our proposed rules to introduce the Investment Firms Prudential Regime (IFPR), a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID). -
Final Notice 2021: Master FinCapital Limited [pdf]
This final notice refers to failure to conduct regulated activities. We imposed a cancellation. -
Dear CEO letter: Trade Finance Activity [pdf]
Dear CEO letter: Trade Finance Activity -
Numbers of CASS audit opinions received by the FCA
The FCA provides information on the numbers of CASS audit opinions received -
First Supervisory Notice 2021: Sentor Solutions Commercial Limited [pdf]
This FSN (Sentor Solutions Commercial Ltd) concerns the FCA’s use if its power of intervention in respect of a firm failing to pay due regard to the interests of its customers and treat them fairly. -
FCA response to the Complaints Commissioner's Report: FCA00939 [pdf]
FCA response to the Complaints Commissioner's Report: FCA00939 -
FCA Board Minutes: 21 & 22 July 2021 [pdf]
Minutes of the FCA Board meeting held on 21 & 22 July 2021 -
Reports about sexual and non-financial misconduct made to the FCA
The FCA responds on the numbers of reports about sexual and non-financial misconduct made to the FCA -
Final Notice 2021: Abacus Management Ltd [pdf]
This final notice (Abacus Management Ltd) refers to a failure to satisfy the threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for -
CP21/27: Quarterly Consultation Paper No. 33 [pdf]
The Financial Conduct Authority invites comments on this Consultation Paper. Comments should reach us by 27 September 2021 for Chapter 2; 4 October 2021 for Chapter 3; 11 October 2021 for Chapters 4, 5, 6, 7, 8 and 9.