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Innovation & Regulation: Partners in the success of Financial Services
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at Money 2020 Amsterdam -
Statutory notices issued by the RDC
Find out more about warning notices and decision notices issued by the Regulatory Decisions Committee (RDC), the documents you’ll receive if you get one, and how to respond. -
Executive and non-executive limitations
If you're a 'significant SYSC firm', follow these guidelines related to non-executive directorships (NEDs). You may need to apply to us for a modification. -
Infographic: FCA regulation of high-cost short-term credit (HCSTC) [pdf]
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PS19/15: Securitisation (Amendment) (EU Exit) Regulations 2019 and Securitisation Regulations 2018 (near final and final rules)
This Policy Statement outlines the near final rules applying our existing supervisory and enforcement processes to securitisation repositories when the UK leaves the European Union. It also sets out the final rules in respect of additional -
FG15/2 - Primary Market Bulletin No. 10
It consists of a series of short technical and procedural notes (Notes) published in PDF form and ordered by topic. -
FCA finds firms fail to deliver best execution
The FCA expects to see firms act as good agents, placing equal focus on controlling client costs as delivering returns, and will take action where firms fall short of our standards.”. -
Information for investors with Pritchard Stockbrokers Limited
On 10 February 2012, we issued a Supervisory Notice stopping Pritchard Stockbrokers Limited carrying out its business. In addition, we have frozen the firm’s assets and the investor money and assets it holds. Here we explain what it means if you -
Changes to UK EMIR reporting requirements: draft questions and answers
The FCA sought feedback alongside the Bank of England (the Bank) on our draft guidance for reporting under the revised UK EMIR Article 9 reporting requirements. -
Occasional Paper No. 24: Behaviour and compliance in organisations
This paper discusses the factors that influence effective compliance and provides suggestions for how regulators and firms can improve levels of compliance.