Publications

Showing 13611 to 13620 of 18845 search results.

13611. q10.pdf [pdf]

       Published: 26/09/2015

       Last modified: 26/09/2015

13612. Firm level complaints data 2015 H1 [xlsx]

       Data

       Published: 25/09/2015

       Last modified: 22/02/2016

       Firm level complaints data 2015 H1. For firms submitting 500 or more opened complaints within their six month reporting period, 1,000 or more if they have an annual reporting period. Contains opened, closed, upheld and speed of closure.

13613. Minutes of the meeting of the MiFID II implementation roundtable [pdf]

       Meeting minutes

       Published: 25/09/2015

       Last modified: 26/11/2015

       From the meeting held on 14 September 2015.

13614. Final Notice 2015: Craig McNeil [pdf]

       Final notices

       Published: 22/09/2015

       Last modified: 29/09/2015

       This final notice refers to breaches of APER 4 and APER 6, FIT, failing to be open and co-operative, lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and prohibition.

13615. GC15/5 Ring-fencing: Guidance on the FCA’s approach to the implementation of ring-fencing and ring-fencing transfer schemes [pdf]

       Guidance consultations

       Published: 18/09/2015

       Last modified: 18/09/2015

13616. CP15/29: Amendments to Various Forms [pdf]

       Consultation papers

       Published: 18/09/2015

       Last modified: 18/09/2015

       The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) set out proposed amendments to four forms used by firms and individuals relating to regulatory approval for certain roles.

13617. CP15/29: Amendments to various forms

       Consultation papers

       Published: 18/09/2015

       Last modified: 13/02/2026

       The FCA and the PRA set out proposed amendments to four forms used by firms and individuals relating to regulatory approval for certain roles.

13618. GC15/5: Ring-fencing: Guidance on the FCA’s approach to the implementation of ring-fencing and ring-fencing transfer schemes

       Guidance consultations

       Published: 18/09/2015

       Last modified: 13/02/2026

       This consultation sets out the proposed general guidance on our approach to the implementation of ring-fencing in the UK, including our approach in relation to ring-fencing transfer schemes (RFTSs).

13619. Regulation round-up - September 2015 [pdf]

       Documents

       Published: 17/09/2015

       Last modified: 01/10/2015

13620. fs0041.pdf [pdf]

       Published: 16/09/2015

       Last modified: 16/09/2015