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  1. PS23/4: Improving equity secondary markets

    Policy statements Published: 03/05/2023 Last modified: 03/05/2023
    The FCA sets out the final policy on changes to technical standards and summarise feedback to CP22/12.

  2. MiFID II: product governance review

    Multi-firm reviews Published: 26/02/2021 Last modified: 15/04/2021
    In this MiFID II review we looked at product governance in a sample of 8 asset management firms.

  3. Temporary ban on net short positions by AMF

    News stories Published: 18/03/2020 Last modified: 18/03/2020
    The FCA notifies that it temporarily prohibits short selling in the following instruments under Articles 23 (1) and 26 (4) of Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012. This page details the

  4. Changes to the Regulated Activities Order

    Firms Published: 27/02/2017 Last modified: 13/03/2024
    The Treasury’s investment advice requirements give firms more scope to provide information to customers on financial products and services. Read our summary of the requirements.

  5. The expanding scope of individual accountability for corporate misconduct

    Speeches Published: 03/04/2017 Last modified: 05/04/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

  6. Information on Appointed Representatives - December 2022

    FOI Release Date of Release: 02/12/2022
    FCA provides information on Appointed Representatives.

  7. Research Note: EMIR data and derivatives market policies

    Data and research Research notes Published: 06/08/2018 Last modified: 06/08/2018
    In 2012, the European Union (EU) implemented the post-financial crisis G20 agreements on derivatives markets by adopting the European Market Infrastructure Regulation (EMIR). In this Research Note, we assess the impact of two key EMIR obligations

  8. Mortgage lending & administration data items: FAQs

    Tasks for regulated firms Published: 06/05/2016 Last modified: 13/06/2022
    Mortgage lending & administration data items: FAQs

  9. Transitional provisions and regimes

    Firms Published: 01/10/2020 Last modified: 31/03/2022
    Find out about the transitional provisions and regimes that are operating, following the end of the transition period.

  10. Notification and disclosure of net short positions

    Markets Short selling Published: 08/05/2016 Last modified: 15/04/2024
    The EU Short Selling Regulation (SSR) introduced a private and public notification regime for investors who hold net short positions in certain financial instruments.
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