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Brexit
The UK has left the EU. Find out what this means for consumers and firms. -
FSA - FG12/21: Summary of feedback received [pdf]
This guidance, that forms new material in ‘Financial crime: a guide for firms’, sets out examples of good practice and poor practice from our thematic review 'Banks' defences against investment fraud'. -
FSA - FG12/13 [pdf]
This paper sets out our view about payment for order flow (PFOF) arrangements. We define PFOF as an arrangement whereby a broker receives payment from market makers, in exchange for sending order flow to them. -
FSA - FG12/18 [pdf]
In March 2011 we carried out a thematic review of the sale and rent back (SRB) market. This guidance sets out our findings. The review highlighted widespread poor practice among SRB firms. -
FSA - FG12/20: Summary of feedback received [pdf]
This guidance, that forms new material in ‘Financial crime: a guide for firms’, sets out examples of good practice and poor practice from our thematic review 'Anti-bribery and corruption systems and controls in investment banks’ -
FSA - GC12/10 [pdf]
This guidance statement represents our guidance in a field where new requirements relating to remuneration are being implemented within the EEA. We recognise this will be an evolving process, and intend to keep the guidance set out here under review. -
FSA - GC12/5 [pdf]
This consultation seeks views on the changes we propose to make to our regulatory guide, Financial crime: a guide for firms in response to the findings of our thematic review, Antibribery and corruption systems and controls in investment banks. -
FSA - PS12/9 [pdf]
Policy FSA - PS12/9 - This Policy Statement reports on the main issues arising from our Consultation Paper 11/28 – 'UK implementation of Amending Directive 2010/73/EU' – and publishes a draft statutory instrument and FSA near-final rules. -
PS13/3 - Restrictions on the retail distribution of unregulated collective investment schemes and close substitutes [pdf]
We are setting out our rules on unregulated collective investment schemes and close substitutes in relation to ordinary retail investors in the UK. -
FSA - PS12/13 [pdf]
Policy FSA - PS12/13 - We are publishing this Policy Statement to summarise the responses received and policy conclusions reached in relation to Consultation Paper CP11/19 (Financial resources requirements for recognised bodies). We also present our -
CP13/12 - CRD IV for Investment Firms 2 - Implementation [pdf]
This Consultation Paper (CP) sets out our proposed changes to the FCA Handbook as a result of the transposition of CRD IV in relation to reporting, remuneration policies and the interaction between CRD IV and AIFMD/UCITS.