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Market Watch 60 [pdf]
In this newsletter, the FCA shares its concerns and findings about control of access to inside information. This follows the conviction of Fabiana Abdel-Malek, a former Compliance officer in the London branch of a major investment bank. It also -
Final Notice 2019: Robert Lea Newell [pdf]
This final notice (Robert Lea Newell) 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. -
Annual return AR30 form: Welsh [docx]
Annual return AR30 form: Welsh -
PPI Complaints Deadline Leaflet [pdf]
If you haven't complained to your provider by 29 August 2019, you won't be able to claim money back PPI. -
PS19/22: Guidance on cryptoassets [pdf]
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Amended direction regulation 2018: notification before exit day (emoney) [pdf]
Direction under paragraphs 3(1)(a) and 12 of schedule 3 of the Electronic Money, Payment Services and Payment Systems (Amendment and Transitional Provisions) (EU Exit) Regulations 2018 -
Amended direction regulation 2018: notification before exit day (payments) [pdf]
Direction under paragraphs 15(1)(a) and 24 of schedule 3 to the Electronic Money, Payment Services and Payment Systems (Amendment and Transitional Provisions) (EU Exit) Regulations 2018 -
Hospitality and Gifts Log - April to June 2019 [pdf]
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FCA Practitioner Panel joint survey report 2019 [pdf]
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Andrew Bailey – Chief Executive: External, Board & Executive Committee Meetings for April - June 2019 [pdf]