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Wealth management survey report – 2026
This report focuses on discretionary portfolio management, where firms manage investments for clients. It presents data and insights to help firms understand the market, compare their approach and raise standards. -
Final Notice 2026: Howard Roland Duckett [pdf]
This Final Notice refers to a breach of FIT related to a lack of fitness and propriety. It was issued on 17 August 2026. We imposed a prohibition and withdrew approval -
Aggregated Net Short Positions [xlsx]
Aggregated current + historic net short positions XLSX daily publication. -
Aggregated Historic Net Short Positions [csv]
Aggregated historic net short positions CSV daily publication. -
Aggregated Current Net Short Positions [csv]
Aggregated current net short positions CSV daily publication. -
Final Notice 2026: Esmeralda Toni [pdf]
This Final Notice refers to breaches of Individual Conduct Rule 1 (COCON 2.2.1R) relating to failing to act with integrity in the wholesale broking sector. We imposed a financial penalty of £121,200 and a prohibition order. -
Final Notice 2026: Paul Vincent Taylor [pdf]
This Final Notice refers to breaches of Individual Conduct Rule 1 (COCON 2.2.1R) relating to failing to act with integrity in the wholesale broking sector. We imposed a financial penalty of £489,000 and a prohibition order. -
The FCA’s response to the Complaints Commissioner’s Report 202400133 [pdf]
The FCA’s response to the Complaints Commissioner’s Report 202400133Published on 5 December 2024. -
Welsh Language Scheme Annual Report 2026 [pdf]
The FCA's Welsh Language Scheme Annual Report to the Welsh Language Commissioner. -
Adroddiad Blynyddol y Cynllun Iaith Gymraeg 2026 [pdf]
Adroddiad Blynyddol y Cynllun Iaith Gymraeg i Comisiynydd y Gymraeg.