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  1. Funeral plans: Proposed approach to regulation [pdf]

    Consultation papers Published: 02/03/2021
    Consultation Paper on our proposed approach to regulating the funeral plans sector.
  2. Short positions disclosed to us [xlsx]

    Data Published: 02/03/2021 Last modified: 02/03/2021
    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.
  3. UK list of exempted shares [xlsx]

    Documents Published: 02/03/2021
    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.
  4. Funeral plan authorisation form [pdf]

    Forms Published: 02/03/2021
    FCA authorisation application form for funeral plan providers and funeral plan intermediaries.
  5. FCA explains: regulation of pre-paid funeral plans transcript [pdf]

    Transcripts Published: 02/03/2021
    In July 2022, we’re taking responsibility for regulating the pre-paid funeral plans sector. Find out what you
  6. Funeral plan providers - quarterly conduct review [pdf]

    Consultation papers Published: 02/03/2021
    Quarterly conduct review (FP001).
  7. Effectiveness assessment of the FCA approach to flexible firm supervision - July 2016 [pdf]

    Corporate documents Published: 02/03/2021
    This assessment by PA Consulting looks at how the FCA's Supervision risk and management framework in 2016 supports the approach to flexible firms and where further development may be necessary in order to make it fully effective, focussing on the
  8. Funeral plan providers and intermediaries - half-yearly prudential return [pdf]

    Consultation papers Published: 02/03/2021
    Half-yearly prudential return for providers (FP003a) and intermediaries (FP003b).
  9. CP21/4: Funeral plans: proposed approach to regulation

    Consultation papers Published: 02/03/2021 Last modified: 02/03/2021
    In this consultation paper we are consulting on draft rules and guidance for the funeral plans sector.
  10. 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.