Publications

Showing 6411 to 6420 of 18814 search results.

6411. Final Notice 2022: Esfera Capital, Agencia de Valores, S.A. [pdf]

      Final notices

      Published: 18/01/2022

      This Final Notice (Esfera Capital) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed a

6412. First Supervisory Notice 2021: Probitas Fidelis Limited [pdf]

      Supervisory notices

      Published: 18/01/2022

      For the reasons given in this notice, and pursuant to regulation 12(1) of the PSR, the Authority has decided to vary the authorisation granted to Probitas by imposing with immediate effect the following requirements.

6413. Industry testing data submission profile [xlsx]

      Systems information

      Published: 17/01/2022

      The FCA’s Financial Instruments Reference Data System (FCA FIRDS) industry testing for CANINS file submissions.

6414. Market Data Processor and industry testing publication sample data [zip]

      Systems information

      Published: 17/01/2022

      The FCA’s Financial Instruments Reference Data System (FCA FIRDS) Market Data Processor industry testing files enable firms to test they can ingest the files and assess the various scenarios around them.

6415. Final Notice 2022: Paul Seakens [pdf]

      Final notices

      Published: 14/01/2022

      This Final Notice refers to breaches of FIT by an investment platform operator. We imposed a prohibition.

6416. Final Notice 2022: Sumer 62 Ltd [pdf]

      Final notices

      Published: 14/01/2022

      This final notice refers to breaches of the PSR, related to failing to meet the conditions for registration in the payment systems sector. We imposed a cancellation.

6417. Information note: Ending registration of a co-operative or community benefit society [pdf]

      Information sheets

      Published: 13/01/2022

      This information will be useful to societies who are no longer going to operate their business and want to end their registration.

6418. Number of skilled persons reports commissioned in Q3 2021/22 [pdf]

      Data

      Published: 12/01/2022

      Number of skilled persons reports commissioned in Q3 2021/22.

6419. Accuracy of transaction reporting 2021 - January 2022

      FOI releases

      Published: 12/01/2022

      Last modified: 25/10/2022

      The FCA answers multiple questions on transaction reporting.

6420. CP22/1: Financial Services Compensation Scheme – Management Expenses Levy Limit 2022/23

      Consultation papers

      Published: 12/01/2022

      Last modified: 25/03/2022

      In a joint consultation with the PRA, we are consulting on the management expenses levy limit for the Financial Services Compensation Scheme.