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Eligibility for listing Non-equity shares and non-voting equity shares [docx]
UK Listing eligibility form. -
eligibility-listing-certificates-representing-certain-securities-depositary-receipts [docx]
UK Listing eligibility form. -
Eligibility for listing Equity shares (international commercial companies secondary listing) [docx]
UK Listing eligibility form. -
DP24/1: Regulation of commercial and bespoke insurance business
We want your views on whether our rules appropriately balance customer protection and competitiveness. -
Review of FCA requirements following the introduction of the Consumer Duty
The FCA is asking for views on whether, where and how we can refine our retail conduct rules, while ensuring we continue to support and protect consumers. -
PS24/9: Payment Optionality for Investment Research [pdf]
The FCA sets out the final rules for a new option to pay for investment research. -
CP24/14: Consultation on the derivatives trading obligation and post-trade risk reduction services [pdf]
TTP DTO direction expires 31 December. FSMA 2023 (art 28a) gives us power of Direction. -
CP24-12: Consultation on the new Public Trading Offers and Admissions to the Trading Regulations regime (POATRs) [pdf]
Consultation on our proposals to implement the new POATRs regime replacing the prospectus regime. -
CP24/13: Consultation on the new public offer platform regime [pdf]
The FCA proposes rules for a new regime that will allow firms to help companies making public offers of securities to investors outside public markets. -
Final Notice 2024: Usman Qureshi [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.