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2019 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2019. -
FCA consults on how firms and individuals will transition to the Senior Managers and Certification Regime
The Financial Conduct Authority (FCA) has today published a package of proposals on how firms and individuals will move to the Senior Managers and Certification Regime. The aim of the new regime is to make individuals more accountable for their -
FCA operating service metrics 2022/23
This report sets out how the FCA performed in 2022/23 against 54 operating service metrics, including how it dealt with regulatory applications, telephone enquiries and other correspondence. -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
Cultural evolution: how culture must change to meet expectations
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations, delivered online at the Westminster Business Forum. -
FCA launches enhanced Financial Services Register to protect consumers
The FCA has today launched its updated Financial Services (FS) Register – including a simpler design and clearer language. -
Financial Promotions for high-risk investments
We outline the findings of our review of how firms offering restricted mass market investments (RMMIs) have complied with new rules on the customer journey. We identify examples of good and poor practice for the wider sector to consider and make any -
2017 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2017. -
FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms
In October 2015, HM Treasury announced its intention to extend the Senior Managers and Certification Regime (SM&CR) to all sectors of the financial services industry. -
FCA response to the independent panels’ annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports.