Publications

Showing 7841 to 7850 of 18814 search results.

7841. FG20/4: General guidance on proportionality: the Dual-regulated firms Remuneration Code (SYSC 19D)

      Finalised guidance

      Published: 17/12/2020

      Last modified: 18/12/2020

      This guidance relates to the Dual-regulated firms Remuneration Code in SYSC 19D. It explains the operation of the dual-regulated firms remuneration principles proportionality rule, and part-year Dual-regulated firms Remuneration Code staff.

7842. Supervisory Statement on the Operation of the MiFID Markets Regime after the end of the EU withdrawal transition period [pdf]

      Documents

      Published: 16/12/2020

      This statement sets out how we will operate the pre- and post-trade transparency regime for the secondary trading of financial instruments after the transition period.

7843. Final Notice 2020: Barclays [pdf]

      Final notices

      Published: 15/12/2020

      This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty.

7844. Final Notice 2020: Corrado Abbattista [pdf]

      Final notices

      Published: 15/12/2020

      This Final Notice refers to breaches of FIT and MAR related to market abuse in the trading firm sector. We imposed a prohibition and financial penalty. File updated to include autotag accessibility requirement.

7845. FCA Financial Instruments Transparency System (FITRS) instructions [pdf]

      Systems information

      Published: 15/12/2020

      Instructions on access and download of full and delta transparency files.

7846. Aggregate complaints data to 2020 H1 [xlsx]

      Data

      Published: 15/12/2020

      Aggregate sector wide firm complaints data for 2020 H1. Including opened, closed, upheld, speed of closure and redress.

7847. Firm level complaints data 2020 H1 [xlsx]

      Data

      Published: 15/12/2020

      Firm level complaints data 2020 H1. For firms submitting 500 or more opened complaints within their six month reporting period, 1,000 or more if they have an annual reporting period. Contains opened, closed, upheld and speed of closure.

7848. Aggregate complaints data: 2020 H1

      Data

      Published: 15/12/2020

      Last modified: 14/01/2026

      This page focuses on complaints that financial services firms reported to us during the first half (H1) of 2020, between 1 January and 30 June 2020. This includes the latest trends and analysis by product group.

7849. Information on investigations into money laundering - December 2020

      FOI releases

      Published: 15/12/2020

      Last modified: 25/10/2022

      The FCA provides data on investigations into money laundering undertaken by the FCA since 2017.

7850. IFPR reporting instructions [pdf]

      Consultation papers

      Published: 14/12/2020

      IFPR reporting instructions.