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Final Notice 2021: Mr Adrian Horn [pdf]
The Final Notice refers to breaches of MAR and FIT relating to Market Abuse in the Trading Firm sector. We imposed a Financial Penalty and Prohibition. -
Final Notice 2021: Today Car 24 Limited [pdf]
This final notice (Today Car 24 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. -
Final Notice 2021: Enrico Riga (Trading as Shire Hampton Motors) [pdf]
This final notice Enrico Riga (Trading as Shire Hampton Motors)) 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 -
Statements of Policy on the operation of the MiFID Transparency Regime - Double Volume Cap [pdf]
This policy was updated to reflect the Double Volume Cap in March 2021. -
Imperial College Data [xlsx]
This data shows the Imperial College estimate of infections at the Lower Tier Local Authority (LTLA) level during the early stages of the pandemic. -
Final Notice 2021: Accident & Injury Assist [pdf]
This final notice (Accident & Injury Assist) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative with the regulator (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation -
UK list of exempted shares [xlsx]
Certain shares are exempt from the notification and disclosure requirements in the UK SSR if their principal venue for trading is located outside the UK. -
PS21/2: Amendments to single and cumulative transaction thresholds for contactless payments [pdf]
This PS summarises the responses we received on our proposed changes relating to the contactless payments limits in Q5 and Q6 in CP21/3. -
FS21/5: Business interruption insurance test case: Proving the presence of coronavirus (Covid-19) [pdf]
This document summarises the feedback the FCA received to its draft guidance: Business interruption insurance test case - proving the presence of coronavirus (Covid-19) published for consultation on 11 December 2020. -
TPR to SRO cancellation form (FSMA) [docx]
Use this form to apply under FSMA to cancel a temporary permission within the financial services contracts regime.