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Primary Market Bulletin 36
In this special edition we introduce specific Task Force on Climate-related Financial Disclosures (TCFD) aligned climate-related disclosure requirements for listed companies. -
To certify or not to certify: decision points in the self-certification process [pdf]
We looked at the current self-certification process with high-risk investments and tested interventions to improve this. -
Outsourcing claim activities to private investigators
Understand the responsibilities of insurers for the actions of private investigators (PIs) who investigate claims. -
Primary Markets enforcement outcomes
A list of recent Primary Markets enforcement outcomes. -
Climate Financial Risk Forum: Call for Interest [pdf]
A call for interest to organisations to apply for Climate Financial Risk Forum (CFRF) membership. -
The compliance function in wholesale banks [pdf]
In January this year, we sent a questionnaire to 22 wholesale banks asking for information about their compliance function. This exercise was designed to give us greater insight into the changes over the past few years and where the remaining risks -
Apply to become a home finance provider
Find out how to apply to the FCA for authorisation if you’re a non-bank lender, lifetime mortgage provider or third-party mortgage administrator. -
FSA - Handbook Notice 114 [pdf]
On 2 November 2011 the FSA Board made changes to the Handbook in five instruments which propose to limit the scope of the voiding rules to large firms that are of systemic importance and have higher risk business models -
FSA - FG11/14 [pdf]
We are issuing this guidance to set out our expectations for firms using the Supervisory Formula Method (SFM) to calculate risk-weighted exposure amounts (RWEA) for unrated securitisation positions. -
Service standards 2019/20
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2019/20.