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  1. Final Notice 2019: UBS AG [pdf]

    Final notices Published: 19/03/2019
    This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine.
  2. The Operation of the MiFID Transparency Regime post-Brexit: technical communication [pdf]

    Systems information Published: 19/03/2019
  3. Modern Slavery and Human Trafficking Statement for the financial year ending 31 March 2018 [pdf]

    Corporate documents Published: 18/03/2019
  4. Monthly PPI refunds and compensation

    Data Published: 18/03/2019 Last modified: 18/03/2019
    A total of £334m was paid in January 2019 to customers who complained about the way they were sold payment protection insurance (PPI). This takes the amount paid since January 2011 to £34.2bn.
  5. TR19/1: Debt management sector thematic review [pdf]

    Thematic reviews Published: 15/03/2019
    This report shares the findings of our thematic review of the debt management sector, which aimed to test whether firms within the debt management sector are meeting our standards, treating their new and existing customers fairly, and delivering appropriate outcomes, particularly for vulnerable customers.
  6. Final Notice 2019: Lewis Alexander Limited [pdf]

    Final notices Published: 15/03/2019
    This final notice refers to a failure to satisfy threshold conditions 2C (effective supervision), 2D (appropriate resources), and 2E (suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of the applicant’s Part 4A application.
  7. TR19/1: Debt management sector thematic review

    Thematic reviews Published: 15/03/2019 Last modified: 15/03/2019
    This report shares the key findings of our thematic review of the debt management sector. We committed in our 2017/18 Business Plan to assess how the market is operating and whether firms are meeting customer needs and our standards.
  8. CP19/12: Consultation on Investment Platforms Market Study Remedies [pdf]

    Consultation papers Published: 14/03/2019
  9. CP19/13: Recovering the costs of the Office for Professional Body Anti-Money-laundering Supervision (OPBAS): further consultation on fees structure [pdf]

    Consultation papers Published: 14/03/2019
  10. MS17/1.3: Investment Platforms Market Study Final Report [pdf]

    Market studies Published: 14/03/2019