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DP16/3: Availability of information in the UK Equity IPO process
DP16/3: Availability of information in the UK Equity IPO process. Discussion papers First published:. 13/04/2016. Last updated: 13/04/2016. Share page. DP16/3: Availability of information in the UK Equity IPO process. In this paper we consider -
Occasional Paper No. 15: Quid pro quo? What factors influence IPO allocations to investors?
Occasional Paper No. 15: Quid pro quo? What factors influence IPO allocations to investors? Occasional papers FCA research First published:. 13/04/2016. Last updated: 03/06/2026In this paper we seek to understand if the IPO allocation process works -
Final notice 2016: Mr Paul White [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. We imposed a prohibition and public censure. -
Minutes: FCA Board 1 March 2016 [pdf]
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Minutes: FCA Board 16 & 17 March 2016 [pdf]
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sandbox-eligibility-criteria.pdf [pdf]
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Default standards for sandbox testing parameters [pdf]
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FG16/4: Guidance on Small and Medium Sized Business (Credit Information) Regulations, and Small and Medium Sized Business (Finance Platform) Regulations [pdf]
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Final notice 2016: Timothy Alan Roberts [pdf]
This final notice refers to breaches of APER 1 and APER 6 related to the unfair treatment of customers in the investment adviser sector. We imposed a fine and prohibition. -
FG16/4: Guidance on Small and Medium Sized Business (Credit Information) Regulations, and Small and Medium Sized Business (Finance Platform) Regulations
In April 2016 we published guidance explaining the scope of our functions in relation to the regulations, which require us to monitor and enforce relevant requirements. We updated this guidance in October 2016.