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  1. REP008: Conduct Rules reporting for solo-regulated firms

    Tasks for regulated firms Published: 13/08/2020 Last modified: 09/02/2023
    Under the Senior Managers and Certification Regime (SM&CR), solo-regulated firms need to tell us whether disciplinary action has been taken against individuals, who aren't Senior Managers, for Conduct Rules breaches.

  2. CP17/19: Markets in Financial Instruments Directive II Implementation – Consultation Paper VI

    Consultation papers Published: 03/07/2017 Last modified: 03/07/2017
    We are consulting on our sixth set of implementation proposals for MiFID II and seeking views on the proposed changes to the FCA Handbook.

  3. First Supervisory Notice 2020: Perry Prowse (Insurance Consultants) Ltd [pdf]

    Supervisory notices Published: 29/06/2020
    First Supervisory Notice for Perry Prowse (Insurance Consultants) Ltd.

  4. Cyber and technology resilience in UK financial services

    Speeches Published: 27/11/2018 Last modified: 14/01/2019
    Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at Bloomberg, London.

  5. PS23/17: Remuneration: enhancing proportionality for small firms

    Policy statements Published: 05/12/2023 Last modified: 05/12/2023
    Our final policy on changes to the remuneration rules for dual-regulated firms to enhance the proportionality of the remuneration requirements that apply to small firms.

  6. Views sought to radically improve access to financial advice

    Press Releases Published: 12/10/2015 Last modified: 19/10/2015
    The consultation will be open until 22 December, and a final report will be published ahead of Budget 2016.

  7. FCA announces plans for stronger nudge towards pension guidance

    News stories Published: 01/12/2021 Last modified: 01/12/2021
    The FCA has today published final rules requiring firms to implement the stronger nudge to Pension Wise guidance.

  8. Treasury, Bank of England and FCA convene working group to facilitate investment in productive finance

    Press Releases Published: 20/11/2020 Last modified: 20/11/2020
    The Treasury, the Bank of England and the FCA are convening an industry working group to facilitate investment in productive finance.

  9. Notice of intention to establish a branch in another EEA state (excluding the Payment Services Directive and Electronic Money Directive) [doc]

    Forms Published: 10/04/2013 Last modified: 23/04/2013
    You should complete this form if you are a UK firm that wishes to exercise a passport right to establish your first establishment in a particular EEA state.

  10. Just one day left to act: PPI complaints deadline is tomorrow

    PPI Press Releases Published: 28/08/2019 Last modified: 30/08/2019
    The FCA issues final reminder to UK consumers - PPI won't be back
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