Publications

Showing 12781 to 12790 of 18845 search results.

12781. Call for input to the post-implementation review of the FCA’s crowdfunding rules

       Calls for input

       Published: 02/09/2016

       Last modified: 09/09/2016

       In this paper we set out some of the recent developments across the crowdfunding sector and a number of concerns that we have identified in response.

12782. Final notice 2016: Elizabeth Anne Parry [pdf]

       Final notices

       Published: 01/09/2016

       This final notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a fine and prohibition.

12783. Final notice 2016: Peter Charles Johnson [pdf]

       Final notices

       Published: 31/08/2016

       Last modified: 31/08/2016

       This final notice refers to breaches of FIT related to benchmarks, a lack of fitness/propriety and wholesale conduct in the retail bank sector. We imposed a prohibition.

12784. Minutes of the MiFID II implementation: Trade Association Roundtable, August 2016 [pdf]

       Meeting minutes

       Published: 31/08/2016

       From the meeting held on 3 August 2016.

12785. Final notice 2016: Amir Khan [pdf]

       Final notices

       Published: 26/08/2016

       Last modified: 26/08/2016

       This final notice refers to breaches of APER 1 and APER 6 related to mortgage fraud in the mortgages sector. We imposed a prohibition and public censure.

12786. FCA key performance indicators (KPIs) - 2015/2016: June 2016 [pdf]

       Corporate documents

       Published: 24/08/2016

       Last modified: 24/08/2016

       We are making more information about our performance available, by publishing key performance indicators (KPIs).

12787. Final notice 2016: Naimat Gul [pdf]

       Final notices

       Published: 22/08/2016

       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.

12788. AI Scheme second supplemental VREQ application [pdf]

       Requirement notices

       Published: 22/08/2016

       Last modified: 23/08/2016

12789. AI Scheme second supplemental VREQ application: Bank/ card provider [pdf]

       Requirement notices

       Published: 22/08/2016

       Last modified: 23/08/2016

12790. Societies cancelled in 2013 [pdf]

       Data

       Published: 18/08/2016

       Societies that have been cancelled for not submitting their annual returns and account in 2013.