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First Supervisory Notice 2021: Probitas Fidelis Limited [pdf]
For the reasons given in this notice, and pursuant to regulation 12(1) of the PSR, the Authority has decided to vary the authorisation granted to Probitas by imposing with immediate effect the following requirements. -
First Supervisory Notice 2021: Renaissance Advisory Ltd [pdf]
For the reasons given in this First Supervisory Notice (Renaissance Advisory Ltd), the Authority has decided to vary Renaissance Advisory Ltd’s permissions with the effect that it no longer has permission to conduct any regulated activities. -
Information on End of Year performance ratings - July 2024
FCA provides information on End of Year performance ratings. -
Senior Managers and Certification Regime: Finalising FCA rules
We have been working closely with HM Treasury on preparation of the Commencement Order needed to enable the FCA to publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR). -
PS19/4: Asset Management Market Study - feedback to CP18/9 and final rules and guidance
The FCA is consulting on rules and guidance to improve the quality, comparability and robustness of information available to investors. The consultation closes on 5 July 2018. -
Dual-regulated firms Remuneration Code (SYSC 19D)
How SYSC 19D applies to dual-regulated firms, comprising banks, building societies and PRA-designated investment firms. -
Information on FCA enforcement investigations - October 2021
The FCA provides data on open FCA enforcement investigations. -
FCA finalise plans to place a deadline on PPI complaints
The Financial Conduct Authority has today confirmed that it will introduce a deadline for making new payment protection insurance (PPI) complaints. -
Notification and disclosure of net short positions
The EU Short Selling Regulation (SSR) introduced a private and public notification regime for investors who hold net short positions in certain financial instruments. -
Transparency waivers and deferrals
Market operators and investment firms operating a UK trading venue that would like a pre-trade transparency waiver must apply to us in advance. Find out how to apply for waivers and deferrals.