Publications
Search results
Showing 13391 to 13400 of 18851 search results.
-
Final notice 2015: Simon Mark Silva-Peake [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety, client money/assets and unfair treatment of customers in the investment adviser sector. We imposed a prohibition. -
The FCA’s approach to advancing its objectives (July 2013 version) [pdf]
In December 2015 we published an updated version of this document. This is the first version of our guidance that sets out what firms and consumers can expect from the FCA and how we intend to deliver our statutory responsibilities. It is based -
PS15/32: Amendments to Various Forms
This Policy Statement summarises the feedback received during the consultation CP15/29 and confirms the final policy and forms. -
PS15/30: Strengthening accountability in banking: UK branches of foreign banks (final rules)
PS15/30: Strengthening accountability in banking: UK branches of foreign banks (final rules). Policy statements First published:. 16/12/2015. Last updated: 26/05/2016. Share page. PS15/30: Strengthening accountability in banking: UK branches of -
FS15/5: Feedback statement to The FCA’s approach to advancing its objectives
We report on the feedback we received to our publication in July 2013 of general guidance on what firms and consumers can expect from the FCA. -
PS15/31: Final Rules on changes to the Approved Persons Regime for insurers not subject to Solvency II
In this policy statement we provide feedback on responses to CP15/25 ‘Changes to the Approved Persons Regime for insurers not subject to Solvency II’ (i.e. Non-Directive Firms or NDFs) and set out the final consequential changes to the Handbook. -
Final notice 2015: Threadneedle Asset Management Limited [pdf]
This final notice concerns an asset management sector firm’s breach of PRIN 3 for failing to put in place adequate controls in the fixed income area of its front office and PRIN 11 for providing inaccurate information to the regulator and for -
CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I [pdf]
We set out our implementation proposals, and seek views on the proposed changes to the FCA Handbook. -
CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I
We set out our implementation proposals, and seek views on the proposed changes to the FCA Handbook. -
Paying fees by instalments: we invite credit providers to express interest in offering credit to firms
Paying fees by instalments: we invite credit providers to express interest in offering credit to firms. Documents First published:. 15/12/2015. Last updated: 15/12/2015. Share page. Paying fees by instalments: we invite credit providers to express