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  1. Final Notice 2020: Asia Research and Capital Management Ltd [pdf]

    Final notices Published: 14/10/2020 Last modified: 14/10/2020
    This Final Notice refers to Asia Research and Capital Management’s failure to notify the FCA and disclose to the public its net short position in Premier Oil in breach of short selling disclosure rules. We have fined the firm £873,118.
  2. Data Attestations user guide [pdf]

    Systems information Published: 12/10/2020 Last modified: 09/10/2020
    This user guide helps firms to complete annual data attestations to confirm that the data maintained in the FS Register for their firm is complete and correct. This Attestation needs to be completed every 12 months.
  3. Final Notice 2020: John Butterfield [pdf]

    Final notices Published: 12/10/2020 Last modified: 09/10/2020
    This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.
  4. User guide: Adding or amending individual directory persons data [pdf]

    Systems information Published: 12/10/2020 Last modified: 09/10/2020
    This user guide helps firms to either submit new directory persons data or amend existing directory persons data individually.
  5. Final Notice 2020: Peter Howson [pdf]

    Final notices Published: 12/10/2020 Last modified: 09/10/2020
    This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.
  6. Occasional Paper 57: Mortgage Market Disruptions [pdf]

    Occasional papers Published: 09/10/2020 Last modified: 07/10/2020
    Analysing all regulated mortgage contracts in the UK, we document the major trends associated with the 2020 pandemic and compare them with the 2007-09 financial crisis.
  7. FCA Board Minutes: 28 August 2020 [pdf]

    Meeting minutes Published: 09/10/2020 Last modified: 08/10/2020
    FCA Board Minutes: 28 August 2020
  8. Occasional Paper No. 57: Mortgage market disruptions

    Occasional papers Published: 09/10/2020 Last modified: 09/10/2020
    We use mortgage contracts data to look at mortgage trends linked to the coronavirus (Covid-19) crisis and compare them to the 2007-09 financial crisis.
  9. PS20/10 technical annex: Prohibiting the sale to retail clients of investment products that reference cryptoassets [pdf]

    Policy statements Published: 06/10/2020 Last modified: 05/10/2020
    PS20/10 technical annex: Prohibiting the sale to retail clients of investment products that reference cryptoassets
  10. PS20/10: Prohibiting the sale to retail clients of investment products that reference cryptoassets [pdf]

    Policy statements Published: 06/10/2020 Last modified: 05/10/2020
    PS20/10: Prohibiting the sale to retail clients of investment products that reference cryptoassets