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FCA publishes coronavirus financial resilience survey data
The FCA has published the results of its coronavirus (Covid-19) financial resilience surveys. The surveys were sent to solo-regulated firms to inform the FCA of the impact of coronavirus on firms’ financial resilience. -
External audit requirements for investment management firms, securities and futures firms and personal investment firms (not small)
Read more about the external audit requirements for investment management firms, securities and futures firms, or personal investment firms (not small). -
Final Notice 2018: Asset Trust Group (Paul Hammond trading as) [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the General Insurance and Protection sector and Investment advisory sector. We imposed a -
Setting high standards for pre-paid funeral plans
In 2019, the Government decided to bring the pre-paid funeral plan sector under FCA regulation. Our rules help make sure that authorised firms don't operate in ways that cause harm. -
Agreements with overseas regulators
Multilateral and bilateral Memoranda of Understanding (MoUs) and other agreements signed by the FCA. -
Information on Cyber Incidents reported to the FCA - August 2020
FCA provides information on Cyber incidents reported to us in 2019 and 2020 -
Aggregate complaints data charts 2016 H2 [pdf]
These charts look at highlights for 2016 H2, total complaints as a ratio of the context measure for each type of product, causes of complaints 2016 H2, complaints by product group 2016 H2, percentage of complaints upheld by product group 2016 H2, -
Financial promotions quarterly data 2023 Q3
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 July 2023 and 30 September 2023. -
Aggregate complaints data charts 2013 H1 [pdf]
These charts look at total opened complaints over time, number of opened complaints by type of product and percentage change in volume of opened complaints for the ten most complained about products between second half of 2012 and the first half of -
Template for provision of information required under Civil Liability Act 2018 [pdf]
The Civil Liability Act 2018 imposes a duty on insurers to provide information to the FCA about the effect that changes to the law under the Act will have on motor insurance premiums. This template covers the Qualtrics survey in September 2023.