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Brexit
The UK has left the EU. Find out what this means for consumers and firms. -
Investor Pro Club
Investor Pro Club is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals. -
PS14/3 - Detailed rules for the FCA regime for consumer credit [pdf]
This policy statement is about our detailed rules for consumer credit firms. We take over the regulation of around 50,000 consumer credit firms from the Office of Fair Trading (OFT) on 1 April 2014. -
TR14/12 - Enhanced transfer value pension transfers [pdf]
This report summarises the findings of our thematic research into suitability of bulk pension transfer advice provided by financial advisers where employers offered an enhancement to the transfer value (ETV). It is not general guidance on the -
FSA - FG12/8 [pdf]
After publishing guidance on the role of the compliance function in November 2011, we decided to issue further guidance on additional areas of the RCB regime to set out our minimum expectations, which we outline here. -
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.