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  1. Final Notice 2021: Michael John Dwane [pdf]

    Final notices Published: 01/03/2021
    This final notice Michael John Dwane refers to a failure to satisfy the effective supervision threshold condition (COND) and the suitability threshold condition (COND). We refused the firm’s application for authorisation.
  2. UK list of exempted shares [xlsx]

    Documents Published: 01/03/2021
    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.
  3. Short positions disclosed to us [xlsx]

    Data Published: 01/03/2021 Last modified: 01/03/2021
    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.
  4. Google's letter to the FCA - 26 February 2021 [pdf]

    Correspondence Published: 01/03/2021
    Google UK & Ireland’s Managing Director, Ronan Harris, wrote a letter on 26 February 2021 to the FCA Chairman and CEO about the work Google have been doing to tackle scam advertisements on their platform.
  5. Handbook Notice 85 [pdf]

    Handbook Published: 26/02/2021
    This Handbook Notice describes the changes to the Handbook and other material made by the Financial Conduct Authority (FCA) Board under its legislative and other statutory powers on 25 February 2021.
  6. PS21/1: Breathing space regulations - changes to our Handbook [pdf]

    Policy statements Published: 26/02/2021
    This policy statement follows consultation paper 20/21 and sets out changes we are making to the Handbook as a result of The Debt Respite Scheme.
  7. User guide: Adding multiple Directory Persons data [pdf]

    Documents Published: 26/02/2021
    This user guide helps firms to submit new Directory Persons data in bulk.
  8. User guide: Amending multiple Directory Persons data [pdf]

    Documents Published: 26/02/2021
    This user guide helps firms to amend existing Directory Persons information in bulk.
  9. Directory Persons – Questions and Answers [pdf]

    Documents Published: 26/02/2021
    Answers to common questions to help your firm submit new Directory Persons data or amend existing Directory Persons information.
  10. MiFID II: product governance review

    Multi-firm reviews Published: 26/02/2021 Last modified: 26/02/2021
    In this MiFID II review we looked at product governance in a sample of 8 asset management firms.