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Payment Protection Insurance (PPI) monthly payouts graph [pdf]
The graphs show a significant increase in redress paid by the firms following the High Court judgment, in April 2011, in favour of our PPI measures. Since the judgment, all firms should have been dealing with complaint backlogs built up during the -
Document publication form [doc]
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Sol-Markets / Sol Markets
Sol-Markets / Sol Markets is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals. -
Retirement income market interactive analysis 2023/24
View interactive dashboards of the retirement income market, based on the 2023/24 data. -
List of EEA market operators applying to become a recognised overseas investment exchange (ROIE)
In September 2018, we published a direction (PDF) that clarified how market operators (as defined by MiFID II) from the European Economic Area (EEA) can apply to become a recognised overseas investment exchange (ROIE). This would enable EEA market -
Final Notice 2017: Tesco plc [pdf]
This final notice refers to breaches of s.118(7) related to market abuse in the issuer sector. We imposed a restitution. -
Primary Market Bulletin Issue 19 [pdf]
This edition covers our consultation on a proposed update to our existing technical note on periodic financial -
Final Notice 2024: Equitrade Markets Ltd [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 investments sector. We imposed a cancellation. -
Societies prosecuted under the Friendly Societies Act and the Industrial and Provident Act - 2009 [pdf]
Societies that have been prosecuted for not submitting their annual returns and accounts in 2009. -
Sub-threshold firm notifications
Find out how to notify us when a sub-threshold firm exceeds the assets under management (AuM) threshold.