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Final Notice 2020: INJURY 4U LTD [pdf]
This final notice refers to a failure to satisfy 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 authorisation. -
The number and value of mortgages with advances greater than £5 million - February 2021
The FCA provides the number of mortgage sales and value of loans reported by regulated firms through their product sales data reporting to the FCA. -
FSCS Supplementary Levy Invoice Letter - 1 Feb 2021 [pdf]
£78 million supplementary levy to cover compensation costs for the Life Distribution and Investment Intermediation class. File updated to include autotag accessibility requirement. -
Portfolio Letter - supervision strategy for retail banking portfolio [pdf]
We set out our view of the key risks of harm that retail banks’ activities are likely to pose over the next two years. We have grouped these risks into four priority areas of focus. Our view is grounded in analysis of a wide range of data. -
Implementing Technology Change
This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce -
Final Notice 2021: Fairstern Ltd [pdf]
This final notice (Fairstern Ltd) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation. -
Occasional Paper 60: Banning Dark Pools: Venue Selection and Investor Trading Costs [pdf]
This paper shows that investors can reduce their execution costs by selecting venues with less pre-trade transparency, such as dark pools or venues with similar characteristics. -
FS21/3: Our Approach to International Firms: summary of responses [pdf]
Our Approach to International Firms summary of responses: feedback to CP20/20. File updated with autotag accessibility. -
Information on SMF functions under the SMCR split by gender - February 2021
The FCA provides data on Senior Management Functions split by gender. -
Occasional Paper No. 60: Banning Dark Pools: Venue Selection and Investor Trading Costs
This paper shows that investors can reduce their execution costs by selecting venues with less pre-trade transparency, such as dark pools or venues with similar characteristics.