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Primary Market Technical Note 420.3 amendment [pdf]
Shell companies (cash shells and special purpose acquisition companies (SPACs)). -
Expectations of firms selling client banks
In the FCA's view, the client bank is the firm’s asset. It will act where these lists are being sold with redress liabilities. -
Societies cancelled under the Industrial and Provident Act 1965 - March 2012 [pdf]
Societies that have been cancelled for not submitting their annual returns and account for March 2012. -
Webinar: The FCA’s Role and Business Plan
On 15 July, Nikhil Rathi will unveil his first Business Plan as the FCA’s Chief Executive. -
Our approach to consumers
Our Approach to Consumers sets out how we use our powers and tools to protect consumers of financial services, in line with our consumer protection objective. -
MS14/3.2 Retirement income market study: Interim Report [pdf]
Provisional findings and proposed remedies -
Launch of permanent Digital Sandbox
The FCA Digital Sandbox will be made available permanently on 1 August 2023, opening up the platform to an even broader range of innovative businesses, start-ups and data providers. -
Final Notice 2026: Dinosaur Merchant Bank Limited [pdf]
This Final Notice refers to breaches of the Market Abuse Regulation, PRIN 3 and associated SYSC rules relating to a lack of systems and controls to prevent and detect market abuse in the trading sector. We imposed a financial penalty. -
FSA - General insurance intermediaries [xls]
Statistics on General Insurance Intermediaries. -
Primary Market Technical Note 340.2 amendment: Profit forecasts and estimates [pdf]
Primary Market Technical Note 340.2 amendment: Profit forecasts and estimates