Publications

Showing 13011 to 13020 of 18845 search results.

13011. Final notice 2016: R Sadler [pdf]

       Final notices

       Published: 12/05/2016

       Last modified: 12/05/2016

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

13012. Final notice 2016: RM Trade Sales Limited [pdf]

       Final notices

       Published: 12/05/2016

       Last modified: 12/05/2016

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

13013. Final notice 2016: Made 2 Measure Fitted Furniture Limited [pdf]

       Final notices

       Published: 12/05/2016

       Last modified: 12/05/2016

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

13014. Co-operation Agreement between Financial Conduct Authority (FCA) and Monetary Authority of Singapore (MAS) [pdf]

       Memorandums of understanding

       Published: 11/05/2016

       Last modified: 11/05/2016

       The purpose of this Co-operation Agreement is to provide a framework for co-operation and referrals between the Innovation Functions of each Authority.

13015. Suspicious Transaction and Order Reports (STORs) Update - February 2016 [pdf]

       Systems information

       Published: 10/05/2016

       Last modified: 04/08/2016

13016. MiFID II Conduct Forum, April 2016: presentation [pdf]

       Systems information

       Published: 10/05/2016

       Last modified: 04/08/2016

13017. Minutes of the MiFID II implementation: Conduct Forum, April 2016 [pdf]

       Meeting minutes

       Published: 10/05/2016

       Last modified: 10/05/2016

       From the meeting held on 18 April 2016.

13018. Final notice 2016: Nasser Yusuf trading as Advance Money Management [pdf]

       Final notices

       Published: 09/05/2016

       Last modified: 09/05/2016

       This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.

13019. Final notice 2016: Terence Andrew Joint [pdf]

       Final notices

       Published: 09/05/2016

       Last modified: 09/05/2016

       This final notice refers to breaches of APER 6, APER 7, FIT and CASS related to a lack of fitness/propriety and client money/assets misconduct in the general insurance and protection sector. We imposed a fine and prohibition.

13020. Regulatory Sandbox – application form [docx]

       Forms

       Published: 09/05/2016

       Last modified: 22/10/2019

       We’ve set up a Regulatory Sandbox to enable a safe space for businesses to test innovative products, services, business models and delivery mechanisms