Publications

Showing 4691 to 4700 of 18811 search results.

4691. Dear CEO letter: FCA expectations for wealth management & stockbroking firms [pdf]

      Portfolio letters

      Published: 08/11/2023

      Portfolio letter to firms as a result of the PSF.

4692. Anti-fraud controls and complaint handling in firms (with a focus on APP Fraud)

      Multi-firm reviews

      Published: 07/11/2023

      Last modified: 03/12/2025

      This publication sets out the key findings from our review of how firms mitigate the risks of APP fraud and fraud attacks more broadly.

4693. Financial Promotion Annex for firms with existing New Authorisation in progress [docx]

      Forms

      Published: 06/11/2023

      Last modified: 06/11/2023

      Form to be used by applicants who wish to add Financial Promotions to their existing New Authorisation Application

4694. DP23/4: Regulating cryptoassets Phase 1: Stablecoins [pdf]

      Discussion papers

      Published: 06/11/2023

      DP23/4: Regulating cryptoassets Phase 1: Stablecoins.

4695. Notice of Decision 2023 : HG Motors Ltd [pdf]

      Decision notices

      Published: 06/11/2023

      This notice of decision refers to a failure to carry out regulated activities. We imposed a cancellation.

4696. Financial Promotions Annex notes [docx]

      Forms

      Published: 06/11/2023

      Notes to be used when a Dual Reg applicant is wanting to add Financial Promotions to their New Authorisation application

4697. Financial Promotions Variation of Permission Notes [docx]

      Forms

      Published: 06/11/2023

      Financial Promotions Variation of Permissions Notes

4698. Application for Gibraltar firms applying for Financial Promotions [docx]

      Forms

      Published: 06/11/2023

      Application for Gibraltar firms wishing to add Financial Promotions

4699. Financial Promotions Variation of Permission form [docx]

      Forms

      Published: 06/11/2023

      Financial Promotions VOP form

4700. Financial Promotions Spreadsheet Twelve Months [xlsx]

      Forms

      Published: 06/11/2023

      Spreadsheet to detail financial promotions as part of New Authorisation or VOP application