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  1. Retail Investments Product Sales Data dashboard

    Data Published: 27/06/2024 Last modified: 27/06/2024
    This page provides a breakdown of retail investment products sales data from 1 January 2019 to 31 December 2023.

  2. Final Notice 2021: Sapien Capital Limited [pdf]

    Final notices Published: 06/05/2021
    This Final Notice (Sapien Capital Limited) 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.

  3. Principles of good regulation

    About us How we regulate Published: 21/04/2016 Last modified: 20/07/2022
    The FCA considers the principles of good regulation when carrying out our work, and regulated firms must comply with our principles for businesses.

  4. Realising the benefits of purposeful leadership

    Speeches Published: 01/11/2018 Last modified: 01/11/2018
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at the CCTA 2018 Conference, Nottingham.

  5. Why black inclusion matters to us

    Speeches Published: 22/04/2021 Last modified: 22/04/2021
    Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at New Financial.

  6. FCA publishes Annual Report for 2014/15

    Press Releases Published: 02/07/2015 Last modified: 14/09/2015
    We take appropriate steps where we find risks or issues that threaten our objectives, but we aim to work with the industry and communicate transparently to ensure not only that our

  7. Infographic 4: Consumer Investment Strategy road map [pdf]

    Documents Published: 15/09/2021
    This road map looks at the FCA's work on mainstream investments, high risk investments, scams and frauds, redress.

  8. Transcript of consumer views on the potential risks of buy now pay later [pdf]

    Transcripts Published: 02/02/2021
    Research as part of the Woolard Review into change and innovation in the unsecured credit market

  9. Product sales data: cancellations and corrections

    Registers and systems Published: 06/05/2016 Last modified: 13/06/2022
    Product sales data: cancellations and corrections

  10. Calibrating controls to build confident markets

    Speeches Published: 06/09/2023 Last modified: 06/09/2023
    Speech by Sarah Pritchard, Executive Director of Markets and International at the Financial Crime Summit 2023 by 1LoD.
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