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Complete amendment of rules [docx]
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Information for investors with Pritchard Stockbrokers Limited
On 10 February 2012, we issued a Supervisory Notice stopping Pritchard Stockbrokers Limited carrying out its business. In addition, we have frozen the firm’s assets and the investor money and assets it holds. Here we explain what it means if you -
Article 23B Benchmarks Regulation – Notice specifying the effective date of the prohibition on use of Article 23A Benchmark [pdf]
Article 23B Benchmarks Regulation – Notice specifying the effective date of the prohibition on use of Article 23A Benchmark -
Consumer Investments: Strategy and Feedback Statement
The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. -
CP22/26: Quarterly Consultation Paper No. 38
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. -
FCA takes action against debt packager firms
5 firms have stopped providing regulated debt advice until further notice and the FCA has used formal powers to stop another firm from providing regulated advice -
PS17/17: PSR regulatory fees 2017/18
This FCA sets its final decision, in conjunction with the PSR, on the rates for PSR regulatory fees for 2017/18. -
Second Supervisory Notice 2020: Fortuna Wealth Management Limited [pdf]
This second supervisory notice refers to breaches of the supervision threshold conditions (COND) and to breaches of PRIN1 and PRIN11 related to lack of fitness/propriety and failing to be open and co-operative in the investment adviser sector. We -
Research Note: Machine learning in UK financial services 2022
This joint Bank-FCA report presents findings and analysis of the 2022 Machine learning (ML) in UK financial services survey. -
CMCs: how we will authorise and regulate firms
Claims management companies are subject to FCA regulation. Read about the standards and rules your firm will need to meet.