Publications

Showing 8011 to 8020 of 18820 search results.

8011. Transcript: Inside FCA interview with Chief Executive Nikhil Rathi on the pandemic response and transforming the FCA [pdf]

      Transcripts

      Published: 10/11/2020

      Last modified: 10/11/2020

      Read the transcript for new FCA Chief Executive Nikhil Rathi's first podcast interview

8012. Information on retirement income market data 2019/20 release - November 2020

      FOI releases

      Published: 10/11/2020

      Last modified: 25/10/2022

      FCA provides information on aggregated retirement income stock data to March 2020.

8013. Information on the number of active investigations into internal systems and controls failures between 2017 and 2020 - November 2020

      FOI releases

      Published: 09/11/2020

      Last modified: 25/10/2022

      FCA provides information on the number of active investigations into financial institutions internal systems and controls failures.

8014. Final Notice 2020: Mark Horsey [pdf]

      Final notices

      Published: 05/11/2020

      This Final Notice (Mark Horsey) refers to breaches of FIT by a financial adviser. We imposed a prohibition. File updated to include autotag accessibility requirement.

8015. Final Notice 2020: Frank Cochran [pdf]

      Final notices

      Published: 05/11/2020

      This Final Notice (Frank Cochran) refers to breaches of FIT by a financial adviser. We imposed a prohibition.

8016. PS20/14: Delay to the implementation of European Single Electronic Format [pdf]

      Policy statements

      Published: 05/11/2020

      Last modified: 05/11/2020

      This Policy Statement sets out our decision on our proposals to push back by 1 year mandatory requirements related to ESEF. File updated with accessibility tags

8017. Final Notice 2020: Inter Claims Ltd [pdf]

      Final notices

      Published: 05/11/2020

      Last modified: 05/11/2020

      This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.

8018. Final Notice 2020: Russell David Jameson [pdf]

      Final notices

      Published: 05/11/2020

      This Final Notice (Russell David Jameson) refers to breaches of FIT by a financial adviser. We imposed a prohibition.

8019. PS20/14: Delay to the implementation of the European Single Electronic Format (ESEF)

      Policy statements

      Published: 05/11/2020

      Last modified: 05/11/2020

      Policy Statement following consultation on proposals to delay the implementation of the European Single Electronic Format.

8020. Information on the number of interviews held with individuals applying for senior management function roles prior to FCA approval - November 2020

      FOI releases

      Published: 05/11/2020

      Last modified: 25/10/2022

      FCA provides information on the number of interviews held with individuals applying for senior management function roles prior to approval.