Publications

  1. Publications
  2. Publications search results
Filter results
Filter by document type
Filter by year
Sort by:

Search results

policy and guidance-finalised guidance policy and guidance-consultation papers policy and guidance-feedback statements policy and guidance-newsletters policy and guidance-handbook Clear all filters

Showing 101 to 110 of 11474 search results.

  1. Market Watch 66

    Newsletters Published: 11/01/2021 Last modified: 22/01/2021
    In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking.

  2. Final Notice 2020: All Accident Claims Limited [pdf]

    Final notices Published: 08/01/2021
    This Final Notice refers to a failure to satisfy threshold conditions (COND) in the claims management sector. We refused the firm’s application for authorisation.

  3. Form TMPR CH [doc]

    Published: 07/01/2021
    Notification of certain changes to an EEA UCITS scheme and any sub-funds which are in the temporary marketing permissions regime (TMPR) as required by Regulations 65 and 66 of the Collective Investment Schemes (Amendment etc.) (EU Exit) Regulations

  4. The coronavirus (Covid-19) financial resilience survey data

    Data Published: 07/01/2021 Last modified: 07/01/2021
    The results from the FCA's financial resilience surveys that were sent to 23,000 regulated firms. Through the surveys the FCA is understanding the real-time effect the pandemic is having on the finances of the firms it prudentially regulates.

  5. The FCA's response to Complaint Commissioner Report FCA00769 [pdf]

    Corporate documents Published: 05/01/2021
    The FCA's response to the Complaints Commissioner's Report FCA00769.

  6. MoU concerning consultation, cooperation and the exchange of information between ESMA and the FCA [pdf]

    Memorandums of understanding Published: 04/01/2021
    MoU concerning consultation, cooperation and the exchange of information between ESMA and the FCA

  7. Multilateral MoU concerning consultation, cooperation and the exchange of information between each of the EEA competent authorities and the FCA [pdf]

    Memorandums of understanding Published: 04/01/2021
    Multilateral MoU concerning consultation, cooperation and the exchange of information between each of the EEA competent authorities and the FCA

  8. List of market makers and authorised primary dealers [pdf]

    Documents Published: 31/12/2020
    We keep an up-to-date list on our website of market makers and authorised primary dealers who are using the exemption under the UK SSR.

  9. TPR firms with BCD, EMD or PSD activities [csv]

    Data Published: 31/12/2020
    This sheet is for the purpose of Open Banking and is limited to showing firms in the TPR which previously held passports under the Second E-money Directive, Payment Services Directive or Banking Consolidation Directive.

  10. Notification form: EEA ECD firms [pdf]

    Forms Published: 31/12/2020
    This form allows EEA ECD firms to notify us that your firm is using the ECD run-off regime.