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Use of credit ratings in the UK
Credit ratings for regulatory use in the UK need to be issued or endorsed by a registered or certified credit ratings agency (CRA). Find out about endorsement and certification. -
Fast-growing firms (FGFs) multi-firm review
We summarise our findings and set out our expectations of FCA solo-regulated fast-growing firms to identify, assess and manage the risks arising from their activities. -
FCA approach to interpreting reporting and disclosure requirements under CRD and CRR BTS [pdf]
We set out the approach we expect firms to take when interpreting EU-based references found in CRD and CRR BTS after the transition period. This PDF has been amended to improve accessibility. -
Stuart Bayes sentenced for insider dealing
Following a sentencing hearing at Southwark Crown Court, Stuart Bayes, 58, was today sentenced to 18 months’ imprisonment, suspended for 2 years, after being convicted of 2 counts of insider dealing. -
Recent statements by Binance and Eqonex Limited
We are aware of recent statements made by Eqonex Limited and the Binance Group confirming that an entity called Bifinity will advance a US$36 million convertible loan to EQONEX. -
Primary Market Bulletin Issue 18 [pdf]
This edition focuses on our proposed new guidance for sponsors on their obligations to ensure directors understand their responsibilities under the listing rules, disclosure requirements and transparency rules, and that directors have established -
Are small firms being locked out of the derivatives market?
This variation margin requirement, as it is known, is not big news outside finance. ... The implementation timescale for EMIR’s margin requirements was not without its critics though. -
FCA publishes thematic review into dark pools
The FCA considered the promotion undertaken by dark pool operators, the quality of the identification, management and disclosure of conflicts of interest and also reviewed relevant governance, oversight and controls. -
Financial promotions quarterly data 2023 Q1
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2023 to 31 March 2023 . -
Previous TTP updates
See a list of past updates we published in relation to the Temporary Transitional Power (TTP).