Publications
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Impact Assessment: Extending SM&CR to solo-regulated firms [pdf]
This impact assessment Extending the Senior Managers & Certification Regime to solo-regulated firms relates to CP17/25, CP17/40, PS18/14 and PS19/20 -
FCA Enterprise Act Report 21 June 2019 – 12 December 2019 [pdf]
One way in which we measure the costs of our regulation, and are transparent about these costs, is through the reporting requirements in the Small Business, Enterprise and Employment Act 2015 as amended by the Enterprise Act 2016 (the Act). -
Dear SMF Letter: Next steps on LIBOR transition [pdf]
Dear SMF Letter: next steps on LIBOR transition. -
Impact Assessment PS19/18: Restricting Contract for Difference Products sold to retail clients [pdf]
This impact assessment refers to PS19/18: Restricting contract for difference products sold to retail clients -
CP20/2: Financial Services Compensation Scheme – Management Expenses Levy Limit 2020/21 [pdf]
CP20/2: Financial Services Compensation Scheme – Management Expenses Levy Limit 2020/21 -
CP20/2: Financial Services Compensation Scheme – Management Expenses Levy Limit 2020/21
The FCA and the Prudential Regulation Authority (PRA) are consulting on the management expenses levy limit (MELL) for the Financial Services Compensation Scheme (FSCS). -
Statistics on Clone and Scam firms - January 2020
FCA provides statistics on Clone and Scam firms for 2019 and previous years dating back to 2014. -
Asset management portfolio tools
This report sets out our review findings of how firms in the asset management sector selected and used risk modelling and other portfolio management tools. -
Final Notice 2019: Rodney Brown [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. -
Final Notice 2019: Shaun Rowe [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.