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  1. Handbook Release 98 - Summary [pdf]

    Handbook Published: 24/02/2010 Last modified: 30/05/2013
    This Release contains pages to be inserted into your paper version of the Handbook in order to bring it up to date as at Release 98. These pages incorporate the changes made on a particular date, as described in the relevant Handbook Notice.

  2. Handbook Release 97 - Summary [pdf]

    Handbook Published: 26/01/2010 Last modified: 30/05/2013
    This Release contains pages to be inserted into your paper version of the Handbook in order to bring it up to date as at Release 97. These pages incorporate the changes made on a particular date, as described in the relevant Handbook Notice.

  3. Notice of Decision 2024: Hawk's Motors Limited [pdf]

    Decision notices Published: 08/07/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.    

  4. FSA Supervisory Notice 2010: Alpha to Omega Limited [pdf]

    Supervisory notices Published: 18/01/2010 Last modified: 14/06/2014
    FSA Supervisory Notice 2010: Alpha to Omega Limited

  5. FSA Second Supervisory Notice 2010: Alpha to Omega Limited [pdf]

    Supervisory notices Published: 21/01/2010 Last modified: 14/06/2014
    FSA Second Supervisory Notice 2010: Alpha to Omega Limited

  6. Move from being an appointed representative to being authorised

    Tasks for regulated firms Published: 13/05/2015 Last modified: 15/12/2022
    If you decide to move from being an appointed representative (AR) to being authorised, find out how to give notice to your principal.

  7. Second Supervisory Notice 2022: Samweb UK Ltd [pdf]

    Supervisory notices Published: 21/10/2022 Last modified: 16/11/2022
    For the reasons given in this Notice, the Authority has decided not to rescind the following Directions and Requirements set out below in paragraph 1.2 which were imposed on the Firm and notified to it in the First Supervisory Notice dated 21 June

  8. Personal data and mutuals registration

    Last modified: 22/02/2023
    How and why the FCA uses personal data that is collected for mutuals registration.

  9. MiFID Transparency calculations data updates

    Last modified: 05/10/2021
    See our privacy notice for further information about the way we use the personal data collected in this form.

  10. FCA Decision Notice 2016: Andrew Tinney [pdf]

    Decision notices Published: 14/09/2016 Last modified: 16/08/2019
    This decision notice refers to breaches of APER 1 and FIT related to culture/governance, failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. Our view is that a public censure and
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