Publications

Showing 12391 to 12400 of 18845 search results.

12391. Final Notice 2017: Michael Fern [pdf]

       Final notices

       Published: 02/02/2017

       This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

12392. Final Notice 2017: Jordanne Moy [pdf]

       Final notices

       Published: 02/02/2017

       This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

12393. Final Notice 2017: John Green [pdf]

       Final notices

       Published: 02/02/2017

       This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

12394. Final Notice 2017: Lee Paul Fishwick [pdf]

       Final notices

       Published: 02/02/2017

       This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

12395. PS17/1: Implementation of the Enforcement Review and the Green Report [pdf]

       Policy statements

       Published: 01/02/2017

       In this Policy Statement we report on the main issues arising from Consultation Paper 16/10 Proposed Implementation of the Enforcement Review and the Green Report. It publishes final amendments to the FCA’s Glossary, the Decision Procedure and

12396. FCA Q3 16/17 Number of skilled person reports commissioned [pdf]

       Data

       Published: 01/02/2017

       Under the Financial Services and Markets Act, as amended by the 2012 Act, the FCA has the power to obtain a view from a third party (a ‘skilled person’) about aspects of a regulated firm's activities if it is concerned or wants further analysis.

12397. Minutes of meeting - Stakeholder Liaison Group - 1 December 2016 [pdf]

       Meeting minutes

       Published: 01/02/2017

12398. Supervision review report: Acquiring clients from other firms [pdf]

       FCA research FCA performance and operational data

       Published: 01/02/2017

       This report presents the findings of our recent review of investment advisory firms’ practices when acquiring clients from other firms.

12399. Supervision review report: Acquiring clients from other firms

       Research insights

       Published: 01/02/2017

       Last modified: 21/08/2017

       We are reporting our findings of our supervision review of investment advisory firms’ practices when acquiring clients from other firms.

12400. Implementation of the Enforcement Review and the Green Report: PS17/1

       Policy statements

       Published: 01/02/2017

       Last modified: 25/09/2025

       We are reporting on the main issues arising from CP16/10.