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Supplementary direction: temporary permission notification (payments) [pdf]
EEA authorised electronic money institutions which before exit day are entitled to offer electronic money issuance, redemption, distribution or payment services in the United Kingdom in the exercise of a passport right -
Review of retained provisions of the Consumer Credit Act: Final report [pdf]
Presented to Parliament pursuant to paragraph 20(8) of Part 5 of the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2014, SI 2014/366 -
Dear CEO letter: Managing the risks of Defined Benefits to Defined Contribution transfers [pdf]
We have completed our review of pension product providers and identified the key drivers of harm. We set out what we expect. -
Claims Management - Individual - Form (DRAFT) [pdf]
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Application for Authorisation - Claims Management - Form (DRAFT) [pdf]
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Primary Market Bulletin Issue 22 [pdf]
In this edition, we advise issuers and other stakeholders of key -
Final Notice 2019: UBS AG [pdf]
This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine. -
The Operation of the MiFID Transparency Regime post-Brexit: technical communication [pdf]
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HMRC communication to London Capital & Finance Plc bondholders [pdf]
HMRC contacted bondholders to inform them that they had decided that the Innovative Finance ISAs offered to investors by LCF did not comply with the requirements of the ISA regulations. -
Modern Slavery and Human Trafficking Statement for the financial year ending 31 March 2018 [pdf]