Publications

Showing 61 to 70 of 208 search results.

61. Transcript: The new prudential regime for investment firms [pdf]

    Transcripts Investment management

    Published: 01/12/2020

    Last modified: 01/12/2020

    Transcript: The new prudential regime for investment firms

62. Information on the currently active list of independent financial advisors - November 2020

    FOI releases

    Published: 26/11/2020

    Last modified: 25/10/2022

    FCA provides information on independent financial advisors, number of employees, client assets and other financial information.

63. Financial advice firms and Asset Retention Requirements information - October 2020

    FOI releases

    Published: 06/10/2020

    Last modified: 25/10/2022

    FCA provides information on the number of financial advice firms that have had Asset Retention Requirements imposed on them August 2019 - August 2020.

64. Investment management data – Annual Report 2019/20

    Data

    Published: 10/09/2020

    Last modified: 16/09/2020

    This investment management data assesses the impact of the FCA's actions since the Asset Management Market Study in 2016.

65. Information on the number of cryptoasset businesses to apply for priority review - June 2020

    FOI releases

    Published: 09/06/2020

    Last modified: 25/10/2022

    FCA provides information on the number of cryptoasset businesses to apply for priority review up to 2 June 2020.

66. The number of firms authorised with one or more discretionary permissions to act as a discretionary fund manager - April 2020

    FOI releases

    Published: 29/04/2020

    Last modified: 25/10/2022

    The FCA provides information on the number of firms authorised with one or more discretionary permissions to act as a discretionary fund manager.

67. Aggregate complaints data to 2019 H2 [xlsx]

    Data

    Published: 16/04/2020

    Aggregate sector wide firm complaints data for 2019 H2. Including opened, closed, upheld, speed of closure and redress.

68. Firm level complaints data 2019 H2 [xlsx]

    Data

    Published: 16/04/2020

    Firm level complaints data 2019 H2. 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.

69. Aggregate complaints data: 2019 H2

    Data

    Published: 16/04/2020

    Last modified: 29/04/2025

    This page focuses on complaints that financial services firms reported to the FCA during the second half (H2) of 2019, between 1 July and 31 December 2019. This includes the latest trends and analysis by product group. 

70. Information on the reports of unauthorised business regarding the permission to manage investments - April 2020

    FOI releases

    Published: 09/04/2020

    Last modified: 25/10/2022

    The FCA provides information on the reports of unauthorised business regarding the permission to manage investments.