Publications

Showing 13001 to 13010 of 18845 search results.

13001. Final notice 2016: Peter Francis Johnson [pdf]

       Final notices

       Published: 19/05/2016

       Last modified: 19/05/2016

       This final notice refers to breaches of APER 1, APER 4 and FIT related to failing to be open and co-operative, failing to act on information appropriately, a lack of fitness/propriety and mis-selling in the asset management sector. We imposed a

13002. Regulation round-up - May 2016 [pdf]

       Documents

       Published: 19/05/2016

       Last modified: 19/05/2016

13003. CP16/14: UCITS V Level 2 Regulation, SFTR and consequential changes to the Handbook

       Consultation papers

       Published: 19/05/2016

       Last modified: 19/05/2016

       We are consulting on proposed changes to the Client Assets sourcebook (CASS) and the Collective Investment Schemes sourcebook (COLL), following the adoption of the Undertakings for Collective Investment in Transferable Securities V Level 2

13004. EMIR margin exemptions application form draft [pdf]

       Forms

       Published: 18/05/2016

       Last modified: 04/08/2016

13005. FS16/3: Feedback Statement - Call for Inputs: competition in the mortgage sector [pdf]

       Feedback statements

       Published: 16/05/2016

       Last modified: 16/05/2016

       In this Feedback Statement we report on the main issues arising from the Call for Inputs on competition in the mortgage sector and outline our next steps.

13006. TR16/4: Embedding the Mortgage Market Review: Responsible Lending Review [pdf]

       Thematic reviews

       Published: 16/05/2016

       Last modified: 16/05/2016

       Embedding the Mortgage Market Review: Responsible Lending Review.

13007. FS16/3: Feedback Statement on competition in the mortgage sector

       Feedback statements

       Published: 16/05/2016

       Last modified: 12/01/2017

       FS16/3: Feedback Statement on competition in the mortgage sector. Feedback statements First published:. 16/05/2016. Last updated: 12/01/2017. Share page. FS16/3: Feedback Statement on competition in the mortgage sector. This Feedback Statement

13008. TR16/4: Embedding the Mortgage Market Review: Responsible Lending Review

       Thematic reviews

       Published: 16/05/2016

       Last modified: 29/08/2025

       Key findings of our thematic review of how firms are applying the responsible lending rules introduced following the Mortgage Market Review (MMR).

13009. Final notice 2016: Mark Samuel Taylor [pdf]

       Final notices

       Published: 13/05/2016

       Last modified: 13/05/2016

       This final notice refers to breaches of FIT as well as section 118(2) Financial Services and Markets Act 2000, related to market abuse and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a fine and

13010. Office of Financial Sanctions Implementation created to help UK businesses comply with financial sanctions

       Documents

       Published: 13/05/2016

       Last modified: 19/05/2016

       Office of Financial Sanctions Implementation created to help UK businesses comply with financial sanctions. Documents First published:. 13/05/2016. Last updated: 19/05/2016. Share page. Office of Financial Sanctions Implementation created to help