Publications

Showing 13721 to 13730 of 18851 search results.

13721. Final Notice 2015: Mountbatten Financial Limited [pdf]

       Final notices

       Published: 05/08/2015

       Last modified: 01/09/2015

       This final notice refers to breaches of PRIN 11, related to threshold conditions and failing to be open and co-operative in the General Insurance and Protection sector. We imposed a cancellation.

13722. Final Notice 2015: United Forex Limited [pdf]

       Final notices

       Published: 05/08/2015

       Last modified: 05/08/2015

       This final notice refers to breaches of PSR, related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

13723. Final Notice 2015: MGI Asset Management Limited [pdf]

       Final notices

       Published: 05/08/2015

       Last modified: 05/08/2015

       This final notice refers to breaches of PRIN 11, related to threshold conditions and failing to be open and co-operative in the investment adviser sector. We imposed a cancellation.

13724. Final Notice 2015: Anseba Cafe & International Exchange Limited [pdf]

       Final notices

       Published: 05/08/2015

       Last modified: 05/08/2015

       This final notice refers to breaches of PSR, related to failing to be open and co-operative in the payment services sector. We imposed a cancellation.

13725. What firms should focus on

       Good and poor practice

       Published: 05/08/2015

       Last modified: 14/06/2023

       The FCA's key messages for firms on unfair contract terms and examples of good and poor practice.

13726. EMIR – the obligation to clear and margin OTC derivative trades - July 2015 [pdf]

       Documents

       Published: 03/08/2015

       Last modified: 03/08/2016

13727. PS15/20: Implementation of the Mortgage Credit Directive: Consequential Changes to the Consumer Credit Sourcebook (CONC) [pdf]

       Policy statements

       Published: 31/07/2015

       Last modified: 31/07/2015

       In this Policy Statement we report on the main issues arising from the MCD elements of Consultation Paper 15/6 (Consumer credit – proposed changes to our rules and guidance) and publish the final rules.

13728. FCA Handbook Notice 24 [pdf]

       Handbook

       Published: 31/07/2015

       Last modified: 31/07/2015

       This Handbook Notice introduces the Handbook and other material made by the Financial Conduct Authority (FCA) Board under its legislative powers on 2 and 30 July 2015, and rules also made by the Financial Ombudsman Service Ltd on 21 and 29 July 2015.

13729. PS15/20: Implementation of the Mortgage Credit Directive: Consequential Changes to the Consumer Credit Sourcebook (CONC)

       Policy statements

       Published: 31/07/2015

       Last modified: 12/01/2023

       In this Policy Statement we report on the main issues arising from the MCD elements of CP15/6 and publish the final rules.

13730. Final Notice 2015: Lee Bruce Stewart [pdf]

       Final notices

       Published: 30/07/2015

       Last modified: 30/07/2015

       This final notice refers to breaches of FIT related to lack of fitness/propriety in the trading firms sector. We imposed a prohibition.