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  1. Occasional Paper No. 15: Quid pro quo? What factors influence IPO allocations to investors?

    Occasional papers Published: 13/04/2016 Last modified: 18/10/2016
    This paper draws on data gathered as part of the FCA’s market study of investment and corporate banking. ... The FCA home for independent opinion. Request an alternative format. Please complete this form if you require this content in an alternative

  2. The Financial Conduct Authority outlines how it will regulate crowdfunding

    Press Releases Published: 24/10/2013 Last modified: 24/10/2013
    Our rules provide this clarity and extra protection for consumers, balanced by a desire to ensure firms and individuals continue to have access to this innovative source of funding.". ... As with every consultation, interested parties are encouraged to

  3. FG18/1: Sourcebook for professional body supervisors on anti-money laundering supervision

    Finalised guidance Published: 23/01/2018 Last modified: 23/01/2018
    We have published our specialist sourcebook for professional body supervisors, that sets out expectations in relation to anti-money laundering supervision.

  4. Underlying data for Montly PPI complaints before and during campaign - May 2021

    FOI Release Date of Release: 10/05/2021
    The FCA provides the data for the numbers of PPI complaints from Jan 2017 to Aug 2019.

  5. FCA calls on victims of Richard Faithfull to come forward ahead of confiscation hearing

    Press Releases Published: 19/08/2022 Last modified: 08/02/2023
    The FCA has called on victims of Richard Faithfull to come forward by 12 September 2022 in order to ensure they be part of any claim for compensation.

  6. Defined contribution workplace pensions: The audit of charges and benefits in legacy schemes

    Statements Published: 01/08/2014 Last modified: 01/08/2014
    Carol Sergeant, Chair of the Independent Project Board comments:. “This report provides an update of the IPB’s progress to date on the audit of charges and benefits in legacy defined ... A final report will be published in December 2014. It will set

  7. FCA fines Ghana International Bank Plc £5.8m for failings in its anti-money laundering controls

    Press Releases Published: 23/06/2022 Last modified: 23/06/2022
    Ghana International Bank Plc (GIB) £5,829,900 for poor anti-money laundering and counter-terrorist financing controls.

  8. PS18/3: Perimeter guidance on personal recommendations on retail investments

    Policy statements Published: 23/02/2018 Last modified: 23/02/2018
    This Policy Statement sets out our response to feedback on new perimeter guidance on what constitutes a personal recommendation, which we published in consultation CP17/28: FAMR Implementation Part II and insistent clients (PDF).

  9. General Insurance Pricing Practices Market Study Forums: 11, 16 and 23 November 2020

    Events Published: 29/10/2020 Last modified: 16/11/2020
    We are holding a series of virtual forums about our proposed package of remedies for the home and motor insurance markets

  10. CP18/12 and CP18/13: Consultations on High-cost Credit and on Overdrafts

    Consultation papers Published: 31/05/2018 Last modified: 19/12/2018
    As part of our ongoing review of high-cost credit products, we are publishing our proposed rules and guidance for consultation. We have also identified a number of areas for discussion.
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