Publications
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Careers video transcript: Using tech to help consumers FCA [pdf]
Transcript – Pavle Avramovic, a graduate from the Technology and Change programme, discusses how the FCA uses various technology to help consumers. -
Careers video transcript: What is unique about the FCA graduate programme 1 [pdf]
Transcript – FCA Graduate and Interns discuss what is unique about the FCA Graduate programme. -
Final Notice 2019: Henderson Investment Funds Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 6 related to the unfair treatment of customers in the Asset Management sector. We imposed a financial penalty. -
FG19/5: Summary of feedback received [pdf]
Summary of feedback from The GI distribution chain: Proposed guidance for insurance product manufacturers and distributors GC19/2. -
FG19/5: The GI distribution chain: Guidance for insurance product manufacturers and distributors [pdf]
This guidance gives further clarity on our expectations of firms in the GI and pure protection sector. -
How to submit client asset reports: Registration process and user guide for audit firms [pdf]
How to submit client asset reports. Registration process and user guide for audit firms. -
Our response to key comments from the independent panels' Annual Reports for 2018-19 [pdf]
Our response to key comments from the independent panels' Annual Reports for 2018-19. -
FG19/05: General insurance distribution chain: Finalised guidance for insurance product manufacturers and distributors
FG19/5: This guidance gives further clarity on our expectations of firms in the GI and pure protection sector. In particular, how firms should consider the value that the product and distribution arrangements present to the customer. -
Decision Notice: Stuart Malcolm Forsyth [pdf]
This Decision Notice refers to breaches of APER1 and FIT related to a lack of fitness/propriety in the insurance sector. Our view is that a prohibition and financial penalty should be imposed. -
Research Note: Gender diversity in UK financial services [pdf]
We draw on a unique FCA regulatory dataset to analyse gender diversity at senior levels in UK financial services, looking at role, firm and sector and how these have changed over time.