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Final Notice 2019: Andrew Morris Cars Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2019: Pitshop Motors (Swindon) Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Independent investigation protocol: London Capital & Finance Plc [pdf]
For the conduct of the independent investigation into the events and circumstances surrounding the failure and placing into administration of London Capital & Finance Plc pursuant to the Direction from the Treasury to the FCA on 23rd May 2019. -
Administrative arrangement for the transfer of personal data between EEA Authorities and non-EEA Authorities [pdf]
The FCA is a signatory to the IOSCO-ESMA administrative arrangement for the transfer of personal data between EEA authorities and non-EEA authorities. This arrangement acts as an appropriate safeguard when the FCA shares personal data with non-EEA -
Final Notice 2019: Wedgwood Vehicle Solutions Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2019: Potters’ Music Shop (Croydon) Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Gabriel DRG change log v50 [pdf]
We have made the following key changes to Gabriel: New Data item REP020 New version of REP018 ( v2 ) Other minor bug fixes and changes -
GC19/3: Guidance for firms on the fair treatment of vulnerable customers [pdf]
Protecting vulnerable consumers is a key priority for the FCA. There are many different drivers of vulnerability, and our Financial Lives Survey showed that 50% of UK adults display one or more characteristics of being potentially vulnerable. -
Final Notice 2019: Standard Life Assurance Limited [pdf]
This final notice (Standard Life Assurance Limited) refers to breaches of PRIN 3, PRIN 6 and COBS related to the unfair treatment of customers in the Life Insurance sector. The FCA imposed a financial penalty. -
Portfolio strategy letter wealth management and stockbroking supervision strategy [pdf]
This letter sets out FCA's view of the key risks of harm that Wealth Management and Stockbroking firms pose to their customers or the markets in which they operate. Firms should consider whether their firm presents these risks and consider their