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  1. Regulatory Decisions Committee (RDC)

    About us Who we are Published: 05/04/2016 Last modified: 17/06/2024
    The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee.

  2. AXA IM Asia / AXA Hong Kong / AXA Investment Managers Hong Kong / Acervo Group (clone of FCA authorised firm)

    Warnings Published: 13/07/2017 Last modified: 13/07/2017
    Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’.

  3. Dear CEO letter: adequate client money arrangements – for general insurance intermediaries [pdf]

    Correspondence Published: 30/09/2020 Last modified: 30/09/2020
    For general insurance intermediaries, this letter highlights areas important to maintain adequate client money arrangements in the current environment.

  4. Where to submit your returns

    Registers and systems Published: 08/05/2016 Last modified: 03/01/2019
    Read our guide for firms to use when submitting notifications to the appropriate regulator.

  5. Notice of Decision 2024: Landmark Financial Resources (Mortgages) Limited [pdf]

    Decision notices Published: 18/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.  

  6. Co-operation Agreement between Financial Conduct Authority (FCA) and Hong Kong Insurance Authority (IA) [pdf]

    Memorandums of understanding Published: 21/09/2017
    Co-operation Agreement between Financial Conduct Authority (FCA) and Hong Kong Insurance Authority (IA).

  7. Supervisory correspondence

    About us How we regulate Published: 18/07/2020 Last modified: 20/03/2024
    Find out how the FCA communicates with the firms it supervises.

  8. Financial promotions quarterly data 2021 Q3

    Data Published: 15/10/2021 Last modified: 27/04/2022
    The FCA publishes data on the number of financial promotions that have been amended or withdrawn due to non-compliance with the FCA's rules. This data is for 2021 Q3.

  9. Methodology note on calculating capital pressures

    Statements Published: 27/03/2013 Last modified: 29/03/2013
    In November 2012 the interim Financial Policy Committee recommended that the FSA takes action to ensure that the capital of UK banks and building societies reflects a proper valuation of their assets, a realistic assessment of future conduct costs

  10. The FCA data strategy: An update one year on [pdf]

    Data Published: 30/10/2014 Last modified: 03/08/2016
    In this update the FCA sets out what we have done so far to achieve our vision, and the changes we have made to ensure that the way we collect and manage data is effective and transparent.
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