How to contact us about a possible breach of our rules.
What we do
We monitor and enforce compliance with the UK Listing Rules, the Prospectus Rules and the Disclosure Guidance and Transparency Rules. If, as a result of formal disciplinary proceedings, we find that an issuer has contravened our rules, we can use our statutory powers under the Financial Services and Markets Act 2000, as amended (FSMA) to impose sanctions on the issuer (financial penalty and public censure).
Information we receive about possible breaches of our rules can make a valuable contribution to our work. We’ll review the matters raised and decide whether or not to use our statutory powers.
What we cannot do
We cannot review matters that go beyond our statutory remit and powers. If we review, our aim will be to decide whether or not any breach of the Rules has occurred.
Many complaints we receive should be taken up with the issuer itself or with other public authorities. For example we do not:
- have powers regarding issuers similar to those of the FCA over authorised firms and approved persons such as ’fit and proper’ rules
- have responsibility for enforcing obligations on issuers imposed by the Companies Act 2006
- act as an ombudsman.
As explained below, we are unlikely to be able to inform complainants as to what action we propose to take in response to their information.
Confidentiality of proceedings
We value the information we receive, but for several reasons we’re unlikely to tell complainants what action, if any, we propose. Our policy is to say publicly whether or not we are reviewing or investigating a matter only in exceptional circumstances, as set out in section 6 of the FCA's Enforcement Guide[1].
We are also bound by confidentiality restrictions in FSMA, and cannot disclose to third parties the outcome of any discussions with an issuer. As a result, we do not enter into an ongoing dialogue about any action we take after receiving information from investors and the public.
Contact us about a potential breach
If you would like to contact us about a potential breach of our rules, you can do so via this webform[2].
Alternatively, you can write to us at: Primary Market Oversight Department, Financial Conduct Authority, 12 Endeavour Square, London, E20 1JN.
Please be as explicit as possible about the rules which may have been breached.
If you have a concern regarding an issuer but are unable to report this using our webform, or wish to contact the FCA to report a matter that is not related to an issuer, please see our Contact Us[3] page.
Report a concern to the market abuse team
If you are not a firm or trading venue (examples of persons professionally arranging or executing transactions) or a whistleblower, but want to contact us about suspected market abuse (insider dealing, trading manipulation), you can report your concerns via this webform[4].
Find out more about how to report suspected market abuse as an individual[5].
Report a concern to the whistleblowing team
If you work at an issuer or regulated firm and wish to confidentially report that a firm or individual is involved in a potential breach of our rules or other wrongdoing, email [email protected] or call 020 7066 9200. Find out more about whistleblowing[6].
