Publications
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Consultation UKLA Technical Note 425.1 - Open-ended investment companies and transfer restrictions [pdf]
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Consultation UKLA Technical Note 712.2 - Additional powers to supervise and discipline sponsors [pdf]
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Consultation UKLA Technical Note 312.1 - Shareholder votes in relation to hypothetical transactions [pdf]
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Consultation UKLA Procedural Note 902.2 - Listing securities via final terms [pdf]
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Consultation UKLA Procedural Note 910.2 - Additional powers to supervise sponsors [pdf]
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PS16/10: Financial Services Compensation Scheme – Management Expenses Levy Limit 2016/17 [pdf]
In this Policy Statement we report on the main issues arising from Consultation Paper 16/3: Financial Services Compensation Scheme Management Expenses Levy Limit 2016/17, and publish the final rules. -
Consultation UKLA Technical Note 717.1 - Sponsors: Record Keeping Requirements [pdf]
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Consultation UKLA Procedural Note 901.3 - Eligibility process [pdf]
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Consultation UKLA Technical Note 629.3 - Final Terms [pdf]
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Consultation UKLA Procedural Note 905.2 - Passporting [pdf]