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  1. MiFID Checklist: Retail [docx]

    Forms Published: 09/12/2019 Last modified: 06/12/2019
    Application for authorisation
  2. Variation of Permission Application form: Trustees or Depositaries of Alternative Investment Funds [doc]

    Forms Published: 06/12/2019 Last modified: 16/11/2018
    This form is only for firms wanting to change the scope of their permission.
  3. CP19/33: Quarterly Consultation No 26 [pdf]

    Consultation papers Published: 06/12/2019
    The Financial Conduct Authority invites comments on this Consultation Paper. Comments should reach us by 6 January 2020 for chapters 3, 7 and 8, and 6 February 2020 for chapters 2, 4, 5 and 6.
  4. CP19/33: Quarterly Consultation Paper No 26

    Consultation papers Published: 06/12/2019 Last modified: 06/12/2019
    Once a quarter, we consult on proposed miscellaneous amendments to our Handbook
  5. CP19/32: Building operational resilience: impact tolerances for important business services and feedback to DP18/4 [pdf]

    Consultation papers Published: 05/12/2019
    We are proposing changes to how firms approach their operational resilience
  6. FCA Board minutes: 23 and 24 October 2019 [pdf]

    Meeting minutes Published: 05/12/2019
    Minutes from the FCA Board meeting on 23 and 24 October 2019.
  7. New data collection platform engagement video transcript [pdf]

    Transcripts Published: 05/12/2019
    We met firms to discuss feedback on Gabriel and improvements to new data collection platform
  8. New data collection platform engagement social media video transcript [pdf]

    Transcripts Published: 05/12/2019
    We met firms to discuss feedback on Gabriel and improvements to new data collection platform. Transcript for video shared on social media.
  9. Short positions disclosed to us [xls]

    Data Published: 04/12/2019 Last modified: 06/12/2019
    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.
  10. Video transcript - FCA 2018-19: the year in numbers [pdf]

    Transcripts Published: 04/12/2019
    Video transcript - FCA 2018-19: the year in numbers