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Primary Market Bulletin 46
This edition covers Article 10 UK MAR and ESG stewardship and TCFD-aligned disclosures: sponsor procedures. -
MiFID II costs and charges disclosures review findings
As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and -
Early careers
Find out about the FCA's graduate, apprenticeship and summer internship opportunities, and how to apply. -
Apply to be an authorised AIFM
Learn how to apply to us to become a full-scope AIFM or a small authorised AIFM, including what permissions you'll need and how much you'll need to pay. -
Non-financial counterparties subject to EMIR: 2014 review
The findings from the FCA's 2014 review on how non-financial counterparties (NFCs) calculate the clearing threshold and how they are complying with European Market Infrastructure Regulation (EMIR). -
Directions and requirements placed on Samweb for providing misleading information to consumers
FCA has issued First and Second Supervisory Notices. -
FCA fines compliance oversight officer for pension transfer failings
The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB -
Expectations of firms offering fractional shares to retail investors
FCA's expectations under the Consumer Duty for firms offering fractional shares. -
Cryptoassets: AML / CTF regime
We are the anti-money laundering and counter-terrorist financing (AML/CTF) supervisor of UK cryptoasset businesses under the money laundering regulations. Learn more about the regime. -
Repeal and replacement of assimilated law
Documents on the repeal and replacement of provisions in the retained EU law.