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  1. Financial promotions quarterly data 2023 Q3

    Data Published: 03/11/2023 Last modified: 14/02/2024
    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.

  2. Primary Market Bulletin 42

    Newsletters Published: 12/12/2022 Last modified: 12/12/2022
    In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers.

  3. Final Notice 2023: Bastion Capital London Limited [pdf]

    Final notices Published: 13/07/2023
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  4. Final Notice 2021: Sunrise Brokers LLP [pdf]

    Final notices Published: 12/11/2021
    This Final Notice (Sunrise Brokers LLP) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty

  5. Climate Financial Risk Forum Guide 2020 - Summary [pdf]

    Corporate documents Published: 29/06/2020
    This overarching summary document sets out what the Climate Financial Risk Forum (CFRF) guide is, how it can be used by firms and provides short summaries of the four chapters of the guide – Disclosures, Innovation, Risk Management and Scenario

  6. Primary Market Technical Note 321.1: Working capital statements and risk factors (Amendment) [pdf]

    UK Listing Authority Published: 24/06/2021
    Primary Market Technical Note 3211: Working capital statements and risk factors (Amendment)

  7. The role of the FCA in a changing regulatory landscape

    Speeches Published: 27/10/2022 Last modified: 27/10/2022
    Speech by Nikhil Rathi, our Chief Executive, delivered at the Lord Mayor's City Banquet at Mansion House.

  8. Towards more effective stewardship

    Speeches Published: 03/04/2019 Last modified: 04/03/2022
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the LSE in London.

  9. Four individuals face fraud charges

    Press Releases Published: 05/04/2023 Last modified: 06/04/2023
    FCA starts criminal proceedings against 4 individuals for conspiracy to commit fraud and for conspiracy to carry out regulated activity without authorisation.

  10. FCA to undertake work in the motor finance market

    Statements Published: 11/01/2024 Last modified: 11/01/2024
    The FCA will review historical motor finance commission arrangements and sales across several firms.
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