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Regulatory Initiatives Grid - May 2022 [pdf]
This grid is produced by the Financial Services Regulatory Initiatives Forum. This fifth edition of the Grid contains a range of themes including climate and sustainability, diversity and inclusion (D&I), innovation, wholesale financial markets, and -
FCA Transitional Direction: explanatory note [pdf]
Explanatory note: Draft directions under Part 7 of the Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (Transitional Powers of the Financial Regulators) -
MS16/1 Retirement Outcomes Review: terms of reference [pdf]
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Solo Capital Partners LLP
On 22 September 2016 at 3.50pm, Solo Capital Partners LLP formally entered into Special Administration Regime insolvency proceedings. The other regulated entities of the Solo Group, West Point Derivatives Ltd, Old Park Lane Capital Limited and -
MS15/2.3: Asset Management Market Study: Final Report: Annex 2: Fund merger and closure analysis [pdf]
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Whistleblowing quarterly data 2025 Q1
The data shows the number of new whistleblowing reports the FCA received between January and March 2025 and the allegations they featured. -
Level of disclosure for securities subject to conversion or write-down powers – Primary Market/TN/637.1 (Amendment) [pdf]
Level of disclosure for securities subject to conversion or write-down powers – Primary Market/TN/637.1 (Amendment) -
General Insurance Pricing Practices Market Study Final Report - Annex 1: Detailed feedback on our Interim Report and our response [pdf]
We received over 60 responses from across the industry as well as consumer groups and individual consumers. We have carefully considered this feedback and set out further details together with our responses -
Trade repositories application form [docx]
Draft form -
Trade repositories registration form notes [docx]
Draft