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Final Notice 2018: Armstrong Investment Managers LLP [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 Investment advisory sector. We imposed a cancellation. -
RMA-D1 Regulatory capital
RMA-D1 Regulatory capital -
Sector Views - published February 2020
We set out our annual analysis of the way the financial environment is changing and the impact of these changes on consumers and market effectiveness. -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and -
Product Sales Data Pure Protection Contracts Tables 2023 [xlsx]
The FCA collects data from the firms it regulates on what products they are selling. Firms operating in the protection sector submit product transaction data to us quarterly. These tables are for 2023. -
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. -
Consumer warning on Semantic Business Services Ltd
We have removed permissions from Semantic Business Services Ltd. It is no longer permitted to carry out any regulated activities. -
CP22/09: Expansion of the Dormant Assets scheme
We are consulting on changes to the FCA handbook to reflect the expansion of the Dormant Assets Scheme. -
FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse
The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse. -
Business interruption test case: Hospitality Insurance Group Action skeleton argument for 2 October hearing [pdf]
This is the Hospitality Insurance Group Action skeleton argument for the consequentials hearing on 2 October 2020 in the Business Interruption test case.