Publications
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Understanding self-directed investors [pdf]
Understanding self-directed investors: a summary report of research conducted for the Financial Conduct Authority (FCA). -
MIC codes for UK Regulated Markets [pdf]
Regularly updated list of ID codes for UK regulated markets, multilateral trading facilities and organised trading facilities. -
Controlled Function holders question and data request - March 2021
The FCA provides data regarding the Controlled Function holders roles opened and closed over five years. -
Memorandum of Understanding between the FCA and USCFTC on cooperation and exchange of information in the context of supervising covered firms [pdf]
Memorandum of Understanding between the FCA and USTFTC on cooperation and exchange of information in the context of supervising covered firms. -
List of regulated insurers - March 2021
The FCA provides a list that contains all insurance companies that are currently authorised by the FCA and also contains all of the Lloyd's Managing Agents who manage the Syndicates that also provide insurance and reinsurance to customers in the UK. -
Information on investigations into firms failing to notify the FCA of a net short position - March 2021
The FCA answers questions related to investigations it has launched into firms failing to notify the FCA of a net short position for the last 5 years. -
Information on claims submitted by consumers under section 75 of the Consumer Credit Act - March 2021
The FCA provides data relating to claims submitted by consumers under section 75 of the Consumer Credit Act. -
Supplement for securities and futures firms (complex) – notes [doc]
These notes help answer questions in the Supplement for securities and futures firms (complex) form. It also helps explain why we require the information we ask you for. -
FCA response to the Complaints Commissioner's Report:FCA00851 [pdf]
FCA response to the Complaints Commissioner's Report: FCA00851. -
Supplement for firms selling investment and home finance [doc]
This supplement collects information that is specific to the type of business that the applicant firm is applying for.