Publications

Showing 8531 to 8540 of 18820 search results.

8531. Information on EMIR Breach Notifications and MiFIR Transaction Reporting - July 2020

      FOI releases

      Published: 10/07/2020

      Last modified: 25/10/2022

      The FCA provides information on EMIR Breach Notifications and MiFIR Transaction Reporting

8532. Final Notice 2020: R Szeto trading as Richard Szeto [pdf]

      Final notices

      Published: 09/07/2020

      This final notice (R Szeto & Co trading as Richard Szeto) 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 Investment advisory sector. We imposed a

8533. FS20/10: Coronavirus and safeguarding customers’ funds: guidance for payment and e-money firms [pdf]

      Feedback statements

      Published: 09/07/2020

      We summarise the feedback to our proposed temporary guidance on payment firms’ prudential risk management and safeguarding arrangements for customers’ funds, in light of coronavirus.

8534. Final notice 2020: Waterside Classics Limited [pdf]

      Final notices

      Published: 09/07/2020

      This final notice (Waterside Classics 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 Investment advisory sector. We imposed a cancellation.

8535. Final Notice 2020: Northwood Financial Management (trading as Stephen Jones) [pdf]

      Final notices

      Published: 09/07/2020

      This final notice (Northwood Financial Management (trading as Stephen Jones)) 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 Investment advisory sector.

8536. Modification by consent of SUP 10A.5.6R direction [pdf]

      Forms

      Published: 09/07/2020

      Modification by consent of SUP 10A.5.6R direction

8537. Final Notice 2020: Jonathan Birch trading as JB's music store [pdf]

      Final notices

      Published: 09/07/2020

      This final notice (Jonathan Birch trading as JB's music store) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

8538. Final Notice 2020: Christopher Edwards trading as Liberty Motorcycles [pdf]

      Final notices

      Published: 09/07/2020

      This final notice (Christopher Edwards trading as Liberty Motorcycles) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

8539. Final notice 2020: Stuart Carnegie (trading as SC Motors and SC Veleting) [pdf]

      Final notices

      Published: 09/07/2020

      This final notice ( Stuart Carnegie (trading as SC Motors and SC Veleting)) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation

8540. Portfolio strategy letter for payment services firms and e-money issuers [pdf]

      Portfolio letters

      Published: 09/07/2020

      We set out the actions we expect you to take across 6 key areas to prevent harm to your customers by ensuring you are compliant with your regulatory obligations.