Publications
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PS24/9: Payment Optionality for Investment Research [pdf]
The FCA sets out the final rules for a new option to pay for investment research. -
CP24/14: Consultation on the derivatives trading obligation and post-trade risk reduction services [pdf]
TTP DTO direction expires 31 December. FSMA 2023 (art 28a) gives us power of Direction. -
CP24-12: Consultation on the new Public Trading Offers and Admissions to the Trading Regulations regime (POATRs) [pdf]
Consultation on our proposals to implement the new POATRs regime replacing the prospectus regime. -
CP24/13: Consultation on the new public offer platform regime [pdf]
The FCA proposes rules for a new regime that will allow firms to help companies making public offers of securities to investors outside public markets. -
Handbook Notice 121 [pdf]
This Handbook Notice describes the changes to the FCA Handbook and other material made by the FCA Board under its legislative and other statutory powers on 27 June 2024, 12 July 2024, 23 July 2024 and 25 July 2024. -
Final Notice 2024: Jacqueline Turner [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. -
Notice of Decision 2024: Clark Steven Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
CP24/13: New regime for public offer platforms
The new regime for public offer platforms will allow firms to help companies make public offers of securities to investors, including retail consumers. -
Final Notice 2024: Usman Qureshi [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2024: Geoffrey Bernard Turner [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition