Publications

Filter results

Filter by topic

Historical publications

Filter by date
Date range

Filter by document type

Search results

Clear all filters

Showing 9431 to 9440 of 18845 search results.

  1. Final Notice 2019: Warbreck Car Sales Limited [pdf]

    Final notices

    Published: 19/09/2019

    This final notice (Warbreck Car Sales 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.

  2. Final Notice 2019: North London Van Centre Limited [pdf]

    Final notices

    Published: 19/09/2019

    This final notice (North London Van Centre 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.

  3. Implementing MiFID II – multi-firm review of research unbundling reforms

    Multi-firm reviews

    Published: 19/09/2019

    Last modified: 29/08/2025

    Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately.

  4. The FCA’s response to the Complaints Commissioner’s Report FCA00621 [pdf]

    Corporate documents

    Published: 17/09/2019

  5. Final Notice 2019: Gary Jackson [pdf]

    Final notices

    Published: 16/09/2019

    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.

  6. mifid-individual-notification-for-change-in-controller.doc [doc]

    Forms

    Published: 16/09/2019

    Last modified: 20/01/2025

    mifid-individual-notification-for-change-in-controller.doc

  7. Final Notice 2019: Doorable Ltd [pdf]

    Final notices

    Published: 12/09/2019

    This final notice (Doorable Ltd) 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.

  8. Final Notice: 24 Hour Car Limited [pdf]

    Final notices

    Published: 12/09/2019

    This final notice (24 Hour Car 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.

  9. First Addendum to the MoU between the SFC and the FCA [pdf]

    Memorandums of understanding

    Published: 12/09/2019

  10. The FCA’s response to the Complaints Commissioner’s Report FCA00564 [pdf]

    Corporate documents

    Published: 11/09/2019

Did you find what you were looking for?