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  1. Video transcript: Nhi's apprenticeship story [pdf]

    Transcripts Published: 26/03/2020
    Transcript for our video on our apprentice and their story.
  2. Video transcript: Toby's apprenticeship story [pdf]

    Transcripts Published: 26/03/2020
    Transcript for our video on our apprentice and their story.
  3. Video transcript: Ankita's apprenticeship story [pdf]

    Transcripts Published: 26/03/2020
    Transcript for our video on our Authorisation's apprentice and their story.
  4. User Guide: registering for the FCA’s new data collection platform [pdf]

    Systems information Published: 26/03/2020
    This user guide provides a step-by-step guide on how to register for the new data collection platform via Gabriel.
  5. Market Data Processor (MDP) Disconnection form [doc]

    Forms Published: 25/03/2020
    Market Data Processor (MDP) Disconnection form
  6. Final Notice 2020: Awesome 3 Limited [pdf]

    Final notices Published: 25/03/2020
    This final notice (Awesome 3 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.
  7. Further Final Notice 2020: Robert Ian Shaw [pdf]

    Final notices Published: 23/03/2020
    This Final Notice (Robert Ian Shaw) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and withdrawal.
  8. Further Final Notice 2020: Lloyd Arnold Pope [pdf]

    Final notices Published: 23/03/2020
    This Final Notice (Lloyd Arnold Pope) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and withdrawal.
  9. FCA requests a delay to the forthcoming announcement of preliminary financial accounts [pdf]

    Correspondence Published: 21/03/2020
    FCA requests a delay to the forthcoming announcement of preliminary financial accounts.
  10. First Supervisory Notice 2020: Triton Insurance Brokers Ltd [pdf]

    Supervisory notices Published: 20/03/2020
    We varied the firm’s permission and imposed requirements on the firm.