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  1. FCA Decision Notice 2013: Bayliss & Co (Financial Services) Limited [pdf]

    Decision notices Published: 23/05/2013 Last modified: 04/06/2015
    This decision notice refers to breaches of TC related to threshold conditions in the investment advisers and platforms sector. Our view is that a withdrawal should be imposed.

  2. PS16/24: Capping early exit pension charges: feedback on CP16/15 and final rules [pdf]

    Policy statements Published: 15/11/2016
    We are publishing Handbook rules that discharge a new duty placed on us by parliament to cap early exit charges in existing and new personal and stakeholder personal pension schemes.

  3. PS17/8: Applying conduct rules to all non-executive directors in the banking and insurance sectors [pdf]

    Policy statements Published: 03/05/2017
    This Policy Statement (PS) introduces final rules to extend our Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (‘banks’) and insurance

  4. PS17/3: Payment protection insurance complaints [pdf]

    Policy statements Published: 02/03/2017
    This Policy Statement includes final rules and guidance on payment protection insurance (PPI) complaints. It completes the consultation process we began in Consultation Paper 15/39 and continued in Consultation Paper 16/20.

  5. Warning Notice Statement 21/5 [pdf]

    Warning notices Published: 16/12/2021
    On 15 December 2021, the FCA gave GIML a warning notice proposing to take action in respect of the conduct summarised in this statement.

  6. Warning Notice Statement 21/6 [pdf]

    Warning notices Published: 16/12/2021
    On 15 December 2021, the FCA gave Mr Haywood a warning notice proposing to take action in respect of the conduct summarised in this statement.

  7. UK SFTR reporting obligation

    Markets Published: 11/03/2020 Last modified: 23/10/2023
    We explain the UK Securities Financing Transactions Regulation (SFTR) reporting requirements and what they mean for your firm.

  8. FSA Supervisory Notice 2010: Tower View Community Credit Union Limited [pdf]

    Supervisory notices Published: 08/10/2010 Last modified: 14/06/2014
    FSA Supervisory Notice 2010: Tower View Community Credit Union Limited

  9. FSA Supervisory Notice 2007: Jubilee (Ancoats) Credit Union Limited [pdf]

    Supervisory notices Published: 01/06/2007 Last modified: 14/06/2014
    FSA Supervisory Notice 2007: Jubilee (Ancoats) Credit Union Limited

  10. PS16/17: PSR regulatory fees 2016/17 [pdf]

    Policy statements Published: 30/06/2016 Last modified: 30/06/2016
    This document forms the final part of the PSR's annual cycle of fees for 2016/17.
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