Publications

Showing 8111 to 8120 of 18820 search results.

8111. CP20/11 engagement information

      FOI releases

      Published: 14/10/2020

      Last modified: 25/10/2022

      FCA provides information on engagement with complaints scheme users and consumer organisations on CP20/11.

8112. Final Notice 2020: Asia Research and Capital Management Ltd [pdf]

      Final notices

      Published: 14/10/2020

      Last modified: 14/10/2020

      This Final Notice refers to Asia Research and Capital Management’s failure to notify the FCA and disclose to the public its net short position in Premier Oil in breach of short selling disclosure rules. We have fined the firm £873,118.

8113. Enforcement investigations and potential breaches of Market Abuse Regulation (MAR) information - October 2020

      FOI releases

      Published: 14/10/2020

      Last modified: 25/10/2022

      FCA provides information on enforcement investigations and potential breaches of Market Abuse Regulation (MAR).

8114. Final Notice 2020: Peter Howson [pdf]

      Final notices

      Published: 12/10/2020

      Last modified: 12/10/2020

      This Final Notice (Peter Anthony Hoswon) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

8115. Final Notice 2020: John Butterfield [pdf]

      Final notices

      Published: 12/10/2020

      Last modified: 12/10/2020

      This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

8116. Data Attestations user guide [pdf]

      Systems information

      Published: 12/10/2020

      Last modified: 12/10/2020

      This user guide helps firms to complete annual data attestations to confirm that the data maintained in the FS Register for their firm is complete and correct. This Attestation needs to be completed every 12 months.

8117. User guide: Adding or amending individual directory persons data [pdf]

      Systems information

      Published: 12/10/2020

      Last modified: 12/10/2020

      This user guide helps firms to either submit new directory persons data or amend existing directory persons data individually.

8118. Open enforcement investigations information - October 2020

      FOI releases

      Published: 12/10/2020

      Last modified: 25/10/2022

      FCA provides information on the number of open enforcement investigations.

8119. Occasional Paper 57: Mortgage Market Disruptions [pdf]

      FCA research

      Published: 09/10/2020

      Last modified: 09/10/2020

      Analysing all regulated mortgage contracts in the UK, we document the major trends associated with the 2020 pandemic and compare them with the 2007-09 financial crisis.

8120. FCA Board Minutes: 28 August 2020 [pdf]

      Meeting minutes

      Published: 09/10/2020

      Last modified: 09/10/2020

      FCA Board Minutes: 28 August 2020