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Final Notice 2021: Jamie Burgin (trading as Rivelin Motors) [pdf]
This final notice (Jamie Burgin (trading as Rivelin Motors)) 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 -
Final Notice 2021: Harrison Memorials Limited [pdf]
This final notice (Harrison Memorials 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. -
Final Notice 2021: Crosfill & Archer Claims Limited [pdf]
This Final Notice refers to breaches of breach of the Conduct of Authorised Persons Rules 2014 (“CAPR”) related to unfair treatment of customers in the claims management sector. We imposed a financial penalty. -
Handbook Notice 89 [pdf]
This Handbook Notice describes the changes to the FCA Handbook and other material made by the Financial Conduct Authority (FCA) Board under its legislative and other statutory powers on 24 June 2021. -
First Supervisory Notice 2021: Action On CIO [pdf]
For the reasons given in this First Supervisory Notice, and pursuant to section 55J of the Act, the Authority has decided to vary the Part 4A permission of Action On CIO -
Final Notice 2021: Michael Milner (trading as Snap-On) [pdf]
This final notice 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. -
Primary Market Technical Note 607.1 (consultation version): Global Depositary Receipts (GDRs) [pdf]
The information in this note is designed to help issuers and practitioners interpret our Listing Rules, Prospectus Regulation Rules, Disclosure Guidance and Transparency Rules, and related legislation. The guidance notes provide answers to the most -
Primary Market Technical Note 623.2: Documents available for inspection [pdf]
The information in this note is designed to help issuers and practitioners interpret our Listing Rules, Prospectus Regulation Rules, Disclosure Guidance and Transparency Rules, and related legislation. The guidance notes provide answers to the most -
Primary Market Technical Note 619.1 (consultation version): Guidelines on disclosure requirements under the Prospectus Regulation and Guidance on specialist issuers [pdf]
Primary Market Technical Note 619.1: Guidelines on disclosure requirements under the Prospectus Regulation and Guidance on specialist issuers -
Primary Market Technical Note 637.1 (consultation version): Level of disclosure for securities subject to conversion or write-down powers [pdf]
Primary Market Technical Note 637.1: Level of disclosure for securities subject to conversion or write-down powers