The Financial Services Authority (FSA) is the regulator of the financial services industry in the UK
The FSA Register explained
The FSA Register is a public record of the firms, individuals and other bodies that we regulate. We have updated our content about the Register, including how to use it when searching for a firm, individual or investment scheme.
Top tips to stay safe from scams
Millions of Brits fall victim to scams every year – with many losing several thousand pounds. We have now made it easier to learn about how scams work, how to spot them and what to do if you have been ripped off.
Prudential regulation of insurance companies
The joint paper published by the Bank of England and Financial Services Authority 'Our future approach to insurance supervision' is now available. It represents a significant milestone in thinking and aims to promote debate about the design of prudential regulation in the UK.
FCA regional events – have your say
We are holding a series of regional events to discuss the ideas in the Financial Conduct Authority Approach Document with our different stakeholders. The next events will be held in Birmingham on 1 August and Bolton on 2 August.
Latest News and Publications
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FSA publishes new rules for platforms
01 Aug
The Financial Services Authority has today published rules on platforms regulation. This follows a review of the regulation of platforms in the context of the objectives of the Retail Distribution Review.
FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings
21 Jul
The Financial Services Authority has today fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls. These failings created an unacceptable risk that payments made by Willis Limited to overseas third parties could be used for corrupt purposes. This is the biggest fine imposed by the FSA in relation to financial crime systems and controls to date.
FSA takes action against directors of IFA firm for recommending unsuitable investments
20 Jul
The Financial Services Authority (FSA) has imposed prohibitions on Paul Banfield and Anthony Moss, former directors of Best Advice Financial Planning Limited (Best Advice), a small independent financial advice firm which was based in Surrey. Best Advice was dissolved on 18 July 2011.
Platforms
01 Aug
This Policy Statement reports on the main issues arising from Consultation Paper 10/29 (Delivering the RDR and other issues for platforms and nominee-related services) and publishes final rules.
Proposed guidance on Liquidity swaps
21 Jul
We invite your comments on the proposed guidance and, in particular, with respect to questions 1 to 22 in Annex 1
Auctioning of greenhouse gas emission allowances
25 Jul
The Financial Services Authority invites comments on this Consultation Paper. Comments should reach us by 18 September 2011.
Neil Rollins - Update
30 Jun
Following a hearing at the Court of Appeal on 29 June 2011, Mr Rollins' sentence was reduced to 18 months.
The Alternative Investment Fund Managers Directive - ESMA's draft technical advice to the European Commission
21 Jul
Speech by Sheila Nicoll
GABRIEL
You can use our online information-gathering system GABRIEL (GAthering Better Regulatory Information ELectronically) to send us your reporting data. Our free e-learning course shows you how.
The FSA Handbook
Our Handbook sets out all our rules and guidance made under powers given to us by the Financial Services and Markets Act 2000 (FSMA). The online Handbook is updated regularly.
International and EU
We play a key role in the development of both International and European regulation. We actively participate in global forums to enhance cooperation and set consistent international standards. We also engage at the European level, which is increasingly the source of most of our policy initiatives.
Authorisation process
Any firm or individual that carries out a regulated financial service market activity in the UK must be authorised by us, unless they are exempt.
The FSA Register
Search our Register for firms, individuals and investment schemes that are, or have been, regulated by us.
Events diary
FCA regional events
Bolton
Aug02
East Kilbride
Sept01
Macdonald Crutherland House, East Kilbride
Belfast
Sept06
Asset Management Conference
Sep20
Smaller firms
We regulate over 17,000 smaller firms and we want to make it as simple as possible for you to do business with us. Our one-minute guides are designed to give you key bits of information in a fast and easy to read format.
