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Application under MIFID 4-11-9r additional firm questions [docx]
Application under MiFID 4.11.9R for permission to exclude positions taken to hedge against the adverse effect of the exchange rate on the own funds or an item deducted from capital from net open currency positions for the purpose of article 352 of -
Application under MIFID 4-12-66r additional firm questions [docx]
Application under MIFIDPRU 4.12.66R for permission to use sensitivity models to calculate interest rate risk on derivative instruments in accordance with article 331(1) of the UK CRR – Additional firm questions -
Application under MIFID 4-14-6r additional firm questions [docx]
Application under MIFIDPRU 4.14.6R for permission to exclude transactions with some counterparties from K-TCD requirement -Additional firm questions. -
Cyber attacks and data breaches reported to the FCA - February 2022
The FCA responds to multiple questions on cyber incidents reported to it. -
XML schemas and validation rules v1.3.2 (DRAFT3) [zip]
XML schemas and validation rules v1.3.2 (DRAFT3). -
XML schemas and validation rules v1.3.1 (DRAFT2) [zip]
XML schemas and validation rules v1.3.1 (DRAFT2) -
Second Supervisory Notice 2022: Freetrade Ltd [pdf]
The FCA has concluded that Freetrade have breached our rules in that all communications must be fair, clear and not misleading. The FCA has decided to impose the following Directions on Freetrade Ltd, including removal of all paid for sponsored -
Firms contacted in relation to the unquoted holdings limit - February 2022
The FCA replies to multiple questions related to the unquoted holdings limit. -
Final Notice 2022: Mayfair Jewellers Ltd [pdf]
This Final Notice (Mayfair Jewellers Ltd) refers to a failure to satisfy the suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation -
Final Notice 2022: L B Commercials Limited [pdf]
This Final Notice (L B Commercials Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation.