Publications

Showing 9721 to 9730 of 18820 search results.

9721. Final Notice 2019: Terry John Farr [pdf]

      Final notices

      Published: 29/05/2019

      This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition.

9722. Clearing obligation notification form for FCs and NFCs [pdf]

      Forms

      Published: 29/05/2019

9723. Call for Input: Cross-Sector Sandbox

      Calls for input

      Published: 29/05/2019

      Last modified: 08/11/2019

      In this paper we set out some of the recent developments across the crowdfunding sector and a number of concerns that we have identified in response.

9724. Occasional Paper No. 48: Swing pricing and fragility in open-end mutual funds

      Occasional papers FCA research

      Published: 29/05/2019

      Last modified: 03/06/2026

      Traditional pricing models for mutual funds penalize loyal investors and might even fuel panic sell-offs in times of stress. Do alternative pricing methods offer a solution?

9725. FOI6185 response [pdf]

      FOI releases

      Published: 28/05/2019

9726. FOI6168 response [pdf]

      FOI releases

      Published: 28/05/2019

9727. FOI6236 response [pdf]

      FOI releases

      Published: 28/05/2019

9728. FOI6231 response [pdf]

      FOI releases

      Published: 28/05/2019

9729. FOI6230 response [pdf]

      FOI releases

      Published: 28/05/2019

9730. FOI6228 response [pdf]

      FOI releases

      Published: 28/05/2019