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Data on Defined Benefits pension transfer activities - February 2022
The FCA answers multiple questions regarding Defined Benefits Pension Transfer activities. -
Supporting material for applications by consumer credit, mortgage and other consumer finance firms
If you're applying to be authorised by the FCA, find out what supporting material to include in your application and how to prepare everything. -
Adviser banned and fined for fabricating RDR qualification certificates
Were it not for this discount, the FCA would have imposed a financial penalty of £25,734. ... The CII withheld publication of this matter so as not to prejudice the FCA’s investigation. -
FCA censures Aviva plc for listing and transparency rules breach
The FCA has today publicly censured Aviva plc for making an announcement that had the potential to mislead the market. -
FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors
Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors. -
Critical issues in financial regulation: The FCA's perspective
Speech by our CEO, Nikhil Rathi, delivered at City Week 2022. -
CP23/12: Expansion of the Dormant Assets scheme – second phase
We are consulting on the second phase of the Dormant Assets Scheme (DAS). -
FCA censures NMC Health Plc (in Administration) for market abuse
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FCA fines ARCM £873,118 for breaches of short selling disclosure rules
The Financial Conduct Authority (FCA) has fined Asia Research and Capital Management Ltd (ARCM) £873,118 over transparency failures. The firm failed to notify the FCA and disclose to the public its net short position in Premier Oil Plc built -
FCA fines and bans former Investment Analyst at Aviva Investors
The Final Notice for Mr Miah. ... The Final Notice and Press Release for Aviva Investors. On 1 April 2013 the Financial Conduct Authority (FCA) became responsible for the conduct supervision of all regulated financial firms and the