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Sole trader appendix - notes [docx]
You should only use the sole trader appendix if you are applying to carry on mortgage and/or non-investment insurance business. -
Capital requirements reporting
Once your firm has been authorised by us, we send a reporting schedule with how you report and record information about your firm. Find out what you need to report to us. -
Service standards 2019/20
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2019/20. -
Occasional Paper No.12: Encouraging consumers to act at renewal: evidence from field trials in the home and motor insurance markets [pdf]
This paper presents the results of field trials testing the potential for different renewal notices to encourage consumers to switch or negotiate their home or motor insurance policy at renewal. -
Final notice 2016: Colin J McIntosh [pdf]
This final notice refers to breaches of APER 1, APER 4, APER 7, FIT and CASS related to appointed representatives, client money, failing to act on information appropriately, failing to be open and co-operative, lack of fitness/propriety and unfair -
Final notice 2016: Robert John Bygrave [pdf]
This final notice refers to breaches of APER 6, FIT and CASS related to appointed representatives, failing to act on information appropriately, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and -
Capital market regulation and coronavirus
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the ShareSoc Webinar: building market and investor confidence. -
FSA - Notice of Undertaking: BISL Limited [pdf]
Cancellation terms in motor insurance policies -
Suspicious transaction and order reports (STOR) figures 2016 [pdf]
Number of Suspicious Transaction Reports (STRs) Received under the Market Abuse Directive (Directive 2003/6/EC) by the FCA for 3 July to 31 December 2016. -
Final Notice 2015: Stephen Edward Bell [pdf]
This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We