Publications
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Short positions disclosed to us [xlsx]
The Short Selling Regulation (SSR) introduced a private and public notification regime for investors who hold net short positions in certain financial instruments. This document shows the public short positions disclosed to the FCA. -
Final Notice 2025: Toni Fox [pdf]
This Final Notice refers to breaches of rules related to acting recklessly with pension transfers. We imposed a prohibition order and fine. -
Final Notice 2025: David Brian Price [pdf]
This Final Notice refers to breaches of rules related to acting recklessly with pension transfers. We imposed a prohibition order and fine. -
Occasional Paper 68: EFT (Mis)pricing [pdf]
In this paper, we investigate contributing factors towards the mispricing of ETF shares. -
Notice of Decision 2025: A & W Fleet Solutions Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2025: GKT Car Sales [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Occasional Paper 68: ETF (Mis)pricing
We investigate how market makers' inventory activities influence ETF mispricing. -
Research Note: Money talks: lessons from 2 LLM pilots on consumer guidance [pdf]
Part of a set of Research Notes to inform discussion on AI topics, this paper relates to 2 large language model pilots on consumer guidance. -
Research Note: Money talks: Lessons from 2 LLM pilots on consumer guidance
This note examines the potential usefulness and limitations of large language models (LLMs) in consumer-facing financial services. -
Notice of Decision 2025: A Motorcompany Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.