Publications

Showing 11341 to 11350 of 18845 search results.

11341. The FCA’s response to the Complaints Commissioner’s Report FCA00389 [pdf]

       Corporate documents

       Published: 14/12/2017

11342. Institutional Disclosure Working Group: Summary of discussion 11 December 2017 [pdf]

       Meeting minutes

       Published: 14/12/2017

11343. CP17 /41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime [pdf]

       Consultation papers

       Published: 13/12/2017

       We are consulting on how FSMA authorised firms and individuals will move to the Senior Managers and Certification Regime.

11344. CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime [pdf]

       Consultation papers

       Published: 13/12/2017

       We are consulting on how FSMA authorised firms and individuals will move to the Senior Managers and Certification Regime.

11345. CP17/42: The Duty of Responsibility for insurers and FCA solo-regulated firms [pdf]

       Consultation papers

       Published: 13/12/2017

       We are consulting on how we will extend the Duty of Responsibility to insurers and FCA solo-regulated firms.

11346. Start of Activity notification form (for PSD and E-money) [doc]

       Forms

       Published: 13/12/2017

11347. Dear CEO letter - Payment for Order Flow [pdf]

       Dear CEO letters

       Published: 13/12/2017

       FCA’s views on PFOF in the context of the evolving landscape under MiFID II.

11348. PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms

       Policy statements

       Published: 13/12/2017

       Last modified: 04/07/2018

       PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms. Open consultation: CP17/42 Read more about Open consultation: CP17/42. 13/12/2017. Consultation closed. 21/02/2018. Policy Statement. 04/07/2018. 04/07/2018. Policy

11349. FCA Statement – authorising and supervising insurance special purpose vehicles [pdf]

       Policy statements

       Published: 13/12/2017

       In this Statement the Financial Conduct Authority (FCA) sets out its approach and expectations when authorising and supervising insurance special purpose vehicles (ISPVs) in line with the FCA’s objectives and Threshold Conditions. This statement

11350. CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime

       Consultation papers

       Published: 13/12/2017

       Last modified: 22/02/2018

       CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime. Open consultation: CP17/41 Read more about Open consultation: CP17/41. 13/12/2017. Consultation closes. 21/02/2018. Policy