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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. -
CP24/18: Quarterly Consultation No. 45 [pdf]
Proposed amendments to our Handbook relating to 'firm' definitions and a non-UCITS retail scheme. -
Decision Notice 2024: Adrian Stuart Westbrook Douglas [pdf]
This Decision Notice (Adrian Stuart Westbrook Douglas) refers to a breach of APER Statement of Principle 1 related to the reckless design of a pension transfer advice model in the pensions sector and a lack of fitness and property in designing and... -
Notice of Decision 2024: CMV Automotive Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: I HOME SOLUTIONS LTD [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Notice of Decision 2024: AKJ Motorsport Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Decision Notice 2024: Frank Edwin Oxberry [pdf]
This Decision Notice (Frank Edwin Oxberry) refers to a breach of APER Statement of Principle 1 and lack of fitness and propriety related to the reckless design and operation of a pension transfer advice model in the pensions sector. Our view is that... -
Notice of Decision 2024: J U Autos UK Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. ... -
Decision Notice 2024: Liam Patrick George Martin [pdf]
This Decision Notice (Liam Patrick George Martin) refers to a breach of APER Statement of Principle 1 related to the reckless design of a pension transfer advice model in the pensions sector and a lack of fitness and property in designing and... -
Final Notice 2024: Alec John Cuthbert [pdf]
This Final Notice (Alec John Cuthbert) refers to a breach of APER Statement of Principle 1 and lack of fitness and propriety related to the reckless design and operation of a pension transfer advice model in the pensions sector. We imposed a...