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Notice of Decision 2025: 360 AUTOMOTIVE LTD [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Short positions disclosed to us [xlsx]
The Short Selling Regulation (SSR) introduced a private and public notification regime for investors who hold net short positions in certain financial instruments. This document shows the public short positions disclosed to the FCA. -
Financial crime controls in corporate finance firms: survey findings
Findings from the FCA survey on financial crime controls in corporate finance firms, including areas for improvement and good practice. -
Multi-firm review of client categorisation in corporate finance firms: high-level observations
We reviewed firms’ compliance with COBS3 client categorisation rules and COBS4 certification requirements. We found gaps in firms’ assessments and records. -
Notice of Decision 2025: Highway Cars Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
NSM validation rules [xlsx]
These rules apply to all announcements submitted to the National Storage Mechanism (NSM) via a Primary Information Provider. -
Notice of Decision 2025: Community Advice Armagh Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation -
NSM schema [xsd]
Primary Information Providers (PIPs) must use a specified schema National Storage Mechanism (NSM) schema. -
Primary Market/TN/638.1 - Guidance on application of complex financial history and significant financial commitment rules [pdf]
Primary Market/TN/638.1 - Guidance on application of complex financial history and significant financial commitment rules -
Primary Market/TN/710.2 - Sponsor Services: Principles for Sponsors [pdf]
Primary Market/TN/710.2 - Sponsor Services: Principles for Sponsors