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FOI6711 Response table [pdf]
FOI6711 Response table -
Information on fines and active or closed investigations since January 2018 - April 2020
The FCA provides information on any fines levied and the number of active or closed investigations since January 2018 for breaching requirements under Directive 2014/65/EU (MiFID II) and Regulation (EU) No 600/2014 (MiFIR) to report RTS 24 order -
Final Notice 2020: Sandstone Solihull Limited [pdf]
This final notice (Sandstone Solihull Limited) 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. -
Final notice 2020: Powerplay-UK Performance Vehicles Limited [pdf]
This final notice 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. -
Information on the number of investigations the FCA has opened into businesses - April 2020
The FCA provides information on the number of investigations opened into businesses over the last two years. -
The FCA's response to the Complaints Commissioner's Report FCA00700 [pdf]
The FCA's response to the Complaints Commissioner's Report FCA00700. -
Information on a questionnaire sent to financial advice firms regarding their acquisition practices - April 2020
The FCA provides information on a questionnaire sent to financial advice firms regarding their acquisition practices. -
Information about agreements made under the Serious Organised Crime and Police Act 2005 - April 2020
The FCA provides information about agreements made under sections 71 to 74 of the Serious Organised Crime and Police Act 2005 (SOCPA). -
Final notice 2020: SCI Group UK Limited [pdf]
This final notice (SCI Group UK Limited) refers to an applicant applying under section 55A of the Financial Services and Markets Act 2000 for Part 4A permission to carry on a regulated activity. The applicant failed to satisfy the Threshold -
Motor finance agreements and coronavirus: draft temporary guidance for firms
This guidance applies to regulated firms that issue regulated motor finance agreements.