FCA regulatory returns (United Kingdom)
Firms authorised by the Financial Conduct Authority send it regular returns on their business, conduct and finances. The FCA regulates the conduct of financial services firms in the UK and also prudentially supervises firms, mainly investment firms, that fall outside the Bank of England.
What the returns cover
- Prudential returns for investment firms
- Client assets and client money
- Complaints handling
- Financial crime and anti-money laundering
- Payment services and e-money
- Markets and transaction reporting
- Ownership, governance and financial resilience
Most returns are entered online or uploaded as data files through the FCA’s reporting system.
Where to find them
The full list of returns, with templates, instructions and filing details, is on the FCA’s site: FCA: Regulatory reporting. Firms file through the FCA’s RegData system, reached through the My FCA portal.
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