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  1. Market Watch 62 [pdf]

    Newsletters Published: 18/10/2019
    In this Market Watch, we share our concerns about personal account dealing (PAD) - where employees of an authorised firm trade for themselves rather than for clients.
  2. Letter to UK Finance: Suspicious Activity Reports (SARs) and Suspicious Transaction and Order Reports (STORs) [pdf]

    Correspondence Published: 18/10/2019
    On 6 September 2019, we wrote to UK Finance with our expectations on the application of the SAR and STOR regimes to firms.
  3. Video transcript: How firms could be affected by Brexit [pdf]

    Transcripts Published: 18/10/2019
    Transcript of our 'How firms could be affected by Brexit' video.
  4. Video transcript: How firms can prepare customers for Brexit [pdf]

    Transcripts Published: 18/10/2019
    Transcript for our 'How firms can prepare customers for Brexit' video.
  5. Aggregate complaints data sortable table: 2019 H1

    Data Published: 17/10/2019 Last modified: 17/10/2019
    Aggregate complaints data sortable table: 2019 H1
  6. Aggregate complaints data to 2019 H1 [xlsx]

    Data Published: 17/10/2019
    Aggregate sector wide firm complaints data for 2019 H1. Including opened, closed, upheld, speed of closure and redress.
  7. List of EEA member state regimes' websites [pdf]

    Information sheets Published: 17/10/2019
    This page lists the dedicated Brexit websites hosted by financial regulators in EEA Member States that we have been made aware of.
  8. Firm level complaints data 2019 H1 [xlsx]

    Data Published: 17/10/2019
    Firm level complaints data 2019 H1. For firms submitting 500 or more opened complaints within their six month reporting period, 1,000 or more if they have an annual reporting period. Contains opened, closed, upheld and speed of closure.
  9. Video transcript: How can firms stay informed about Brexit? [pdf]

    Transcripts Published: 17/10/2019
    Video transcript for our 'How can firms stay informed about Brexit?' video.
  10. MoU between HM Treasury, the Bank of England, the PRA and the FCA: equivalence and exemptions [pdf]

    Memorandums of understanding Published: 17/10/2019
    This MoU sets out how HM Treasury, the Bank of England, PRA and FCA expect to coordinate their respective functions in relation to equivalence and exemption determinations. These are new functions that will be transferred to UK authorities in the context of the UK’s withdrawal from the EU and will come into effect from exit day.