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FCA fines and prohibits trader for market abuse
The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity. -
Modification by consent: COBS 8.1.1R
Find out how this modification works and how to take advantage of it. -
Information on enforcement investigations under SMR - June 2022
The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime. -
Reducing and preventing financial crime
We are providing an update on our progress and looking ahead to identify 4 areas of focus in the coming year. -
FCA announces pensions value for money consultation
The FCA is bringing forward proposals that are designed to promote value for money for the members of workplace personal pension schemes with the announcement of a new Consultation Paper. -
FCA statement on Liverpool Victoria
The FCA has confirmed its non-objection to LV taking forward its next steps towards asking its members for their views on de-mutualisation. -
GC24/2: Primary Market Bulletin No. 48
We are consulting on the following proposed changes to the Knowledge Base. -
Firm Details Attestation (FDA) since January 2021 - January 2022
The FCA responds to multiple questions on Firm Details Attestation. -
First supervisory notice 2020: F1 Markets Ltd [pdf]
This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing -
FCA welcomes Lord Hill’s Listing Review report
The FCA responds to the publication of Lord Hill's recommendations in the UK Listings Review, launched by HM Treasury in November last year.