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  1. 2020 Letter to RemCo Chairs [pdf]

    Correspondence Published: 22/07/2020
    In July 2020, we wrote to the Remuneration Committee Chairs of Level 1 firms to set out the FCA’s findings on accountability, ex-post risk adjustments, and diversity and inclusion from the 2019/20 remuneration round.

  2. FCA introduces new rules on whistleblowing

    Press Releases Published: 06/10/2015 Last modified: 19/04/2016
    managers). The Certification Regime applies to other staff who could pose a risk of significant harm to the firm or any of its customers (for example, staff who give investment advice

  3. Finding opportunity in a world of uncertainty

    Speeches Published: 30/06/2022 Last modified: 30/06/2022
    Speech by Sarah Pritchard, Executive Director, Markets, at the CityUK Annual Conference.

  4. Financial promotions quarterly data 2023 Q2

    Data Published: 04/08/2023 Last modified: 03/11/2023
    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 April 2023 and 30 June 2023.

  5. Highlights of the FCA’s approach in 2022

    Press Releases Published: 21/12/2022 Last modified: 30/01/2023
    The FCA set out a new three-year strategy in April designed to improve outcomes for consumers and markets.

  6. FSA - Unregulated Collective Investment Schemes: Letter to provider firms [pdf]

    Correspondence Published: 18/06/2012 Last modified: 03/08/2016
    The unlawful promotion and mis-selling of UCIS is a key risk we have identified in the retail investment market. Our concerns include how firms’ behaviour further up the UCIS product chain may be contributing to the risk of UCIS being

  7. It's time for an Enlightenment on financial inclusion

    Speeches Published: 29/09/2023 Last modified: 29/09/2023
    Speech by Nikhil Rathi, the FCA's Chief Executive, delivered at PwC Glasgow for the Scottish Financial Enterprise: Extending Financial Inclusion event.

  8. Portfolio letter: Our Alternatives Supervision Strategy [pdf]

    Correspondence Published: 22/01/2020
    This letter outlines our view of the key risks of harm that alternative investment firms pose to their customers or the markets in which they operate.

  9. The FCA's regional FinTech engagement

    Speeches Published: 26/04/2017 Last modified: 26/04/2017
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Leeds Digital Festival.

  10. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products
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