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  1. Short positions disclosed to us [xls]

    Data Published: 16/01/2019 Last modified: 16/01/2019
    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.
  2. Final Notice 2019: James Edward Sheriff (trading as Diamond Car Sales) [pdf]

    Final notices Published: 16/01/2019
    This final notice (James Edward Sheriff trading as Diamond Car Sales) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
  3. Final Notice 2019: Alexander Clearie Dick (trading as Village Cars Saline) [pdf]

    Final notices Published: 16/01/2019
    This final notice (Alexander Clearie Dick trading as Village Cars Saline) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
  4. Final Notice 2019: Mark John Owen [pdf]

    Final notices Published: 16/01/2019
    This final notice (Mark John Owen) refers to breaches by an executive director of APER 1, APER 4 and FIT related to a lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition.
  5. Final Notice 2019: Stewart Owen Ford [pdf]

    Final notices Published: 16/01/2019
    This final notice (Stewart Owen Ford) refers to breaches by an executive director of APER 1, APER 4 and FIT related to mis-selling, failing to be open and co-operative, a lack of fitness/propriety, conflicts of interest, and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition.
  6. First Supervisory Notice 2019: Organic Investment Management Limited [pdf]

    Supervisory notices Published: 16/01/2019
    This first supervisory notice (Organic Investment Management Limited) refers to a failure to satisfy the appropriate resources threshold condition (COND) and breaches of SYSC. We imposed requirements on the firm.
  7. The FCA's response to the Complaints Commissioner's Report addendum to FCA00269 [pdf]

    Corporate documents Published: 15/01/2019
  8. CP19/2: Brexit and contractual continuity [pdf]

    Consultation papers Published: 14/01/2019
  9. CP19/1: Recovering the costs of regulating securitisation repositories after the UK leaves the European Union [pdf]

    Consultation papers Published: 11/01/2019
  10. Final Notice 2019: Motor Mart Limited [pdf]

    Final notices Published: 11/01/2019
    This final notice (Motor Mart Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.