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  1. Final Notice 2020: Northwood Financial Management (trading as Stephen Jones) [pdf]

    Final notices

    Published: 09/07/2020

    This final notice (Northwood Financial Management (trading as Stephen Jones)) 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 Investment advisory sector.

  2. Modification by consent of SUP 10A.5.6R direction [pdf]

    Forms

    Published: 09/07/2020

    Modification by consent of SUP 10A.5.6R direction

  3. Final Notice 2020: Jonathan Birch trading as JB's music store [pdf]

    Final notices

    Published: 09/07/2020

    This final notice (Jonathan Birch trading as JB's music store) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2020: Christopher Edwards trading as Liberty Motorcycles [pdf]

    Final notices

    Published: 09/07/2020

    This final notice (Christopher Edwards trading as Liberty Motorcycles) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  5. Final notice 2020: Stuart Carnegie (trading as SC Motors and SC Veleting) [pdf]

    Final notices

    Published: 09/07/2020

    This final notice ( Stuart Carnegie (trading as SC Motors and SC Veleting)) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation

  6. Portfolio strategy letter for payment services firms and e-money issuers [pdf]

    Portfolio letters

    Published: 09/07/2020

    We set out the actions we expect you to take across 6 key areas to prevent harm to your customers by ensuring you are compliant with your regulatory obligations.

  7. Information on numbers of active and closed FCA cases - July 2020

    FOI releases

    Published: 09/07/2020

    Last modified: 25/10/2022

    The FCA provides information on the number of active and closed FCA cases

  8. Finalised guidance: Coronavirus and safeguarding customers’ funds: additional guidance for payment and e-money firms [pdf]

    Finalised guidance

    Published: 09/07/2020

    This finalised guidance intends to strengthen firms’ prudential risk management and arrangements for safeguarding customers’ funds in this period of economic stress due to coronavirus.

  9. FS20/10: Coronavirus and safeguarding customers’ funds: guidance for payment and e-money firms

    Feedback statements

    Published: 09/07/2020

    Last modified: 09/07/2020

    We summarise the feedback to our proposed temporary guidance on payment firms’ prudential risk management and safeguarding arrangements for customers’ funds, in light of coronavirus.

  10. Coronavirus and safeguarding customers’ funds: additional guidance for payment and e-money firms

    Finalised guidance

    Published: 09/07/2020

    Last modified: 09/07/2020

    This finalised guidance intends to strengthen firms’ prudential risk management and arrangements for safeguarding customers’ funds in this period of economic stress due to coronavirus.
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