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  1. Innovation in financial services

    Speeches Published: 10/11/2015 Last modified: 10/11/2015
    Speech by Christopher Woolard, director of strategy and competition at the FCA, delivered at the FinanceAsia Annual Compliance Summit in Hong Kong on 10 November 2015. This is the text of the speech as drafted, which may differ from the delivered

  2. Investor protection in the UK: New tools, new challenges

    Speeches Published: 19/09/2014 Last modified: 19/09/2014
    Speech by Maggie Craig, Acting Head of Savings and Investments, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Remote or hybrid working: FCA expectations for firms

    Tasks for regulated firms Published: 11/10/2021 Last modified: 13/02/2023
    It's likely many firms will continue new ways of working. The FCA sets out expectations so they can meet regulatory responsibilities.

  4. Assessing Suitability Review

    Multi-firm reviews Published: 18/05/2017 Last modified: 18/05/2017
    This report sets out the findings from our review into the market for pensions and investment advice.

  5. FCA responds to Treasury announcement on equivalence

    Statements Published: 09/11/2020 Last modified: 09/11/2020
    Our response to the Treasury’s announced intention to take equivalence decisions in respect of the EEA states across a number of financial services areas.

  6. UK list of exempted shares [xlsx]

    Documents Published: 15/11/2022 Last modified: 15/11/2022
    Certain shares are exempt from the notification and disclosure requirements in the UK SSR if their principal venue for trading is located outside the UK.

  7. OFT Requirement Notice: Tower Capital Limited [pdf]

    Requirement notices Published: 13/02/2014 Last modified: 01/04/2014
    This Notice from the OFT placed a requirement on Tower Capital Limited which applies to its Consumer Credit Interim Permission.

  8. FSA data items FAQs

    Published: 09/05/2016 Last modified: 19/05/2023
    On this page we provide guidance and information for firms on how to complete FSA reports.

  9. FCA and ICO publish joint update on GDPR

    Statements Published: 08/02/2018 Last modified: 13/02/2018
    The Financial Conduct Authority (FCA) and the Information Commissioners Office (ICO) have today published an update on the EU General Data Protection Regulation (GDPR).

  10. FSA - PS13/5 The new FCA Handbook [pdf]

    Policy statements Published: 25/03/2013 Last modified: 30/05/2013
    Policy FSA - PS13/5 - Since September 2012, the FSA has consulted on changes to existing regulatory rules and guidance on behalf of the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA). These changes were driven by the
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