‘Annex 1’ firms; sector under scrutiny

Published on: 16/09/2026 00:00

The Financial Conduct Authority (FCA) had two open enforcement operations against so-called Annex 1 firms as of September 7, according to a Freedom of Information Act (FOIA) response obtained by Compliance Corylated.

Annex 1 firms – which include everything from unregulated lenders and safe custody providers to money brokers and financial leasing companies – have increasingly been in the watchdog’s crosshairs in recent months.

Read John Higgins’ comments in the full article published in Compliance Corylated.