Publications

Showing 13391 to 13400 of 18845 search results.

13391. Final notice 2015: Threadneedle Asset Management Limited [pdf]

       Final notices

       Published: 15/12/2015

       Last modified: 15/12/2015

       This final notice concerns an asset management sector firm’s breach of PRIN 3 for failing to put in place adequate controls in the fixed income area of its front office and PRIN 11 for providing inaccurate information to the regulator and for

13392. CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I [pdf]

       Consultation papers

       Published: 15/12/2015

       Last modified: 15/12/2015

       We set out our implementation proposals, and seek views on the proposed changes to the FCA Handbook.

13393. CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I

       Consultation papers

       Published: 15/12/2015

       Last modified: 25/09/2025

       We set out our implementation proposals, and seek views on the proposed changes to the FCA Handbook.

13394. Paying fees by instalments: we invite credit providers to express interest in offering credit to firms

       Documents

       Published: 15/12/2015

       Last modified: 15/12/2015

       Paying fees by instalments: we invite credit providers to express interest in offering credit to firms. Documents First published:. 15/12/2015. Last updated: 15/12/2015. Share page. Paying fees by instalments: we invite credit providers to express

13395. Investing in a social enterprise [pdf]

       Documents

       Published: 14/12/2015

       Last modified: 03/08/2016

       How to gather information on what you can invest in, and the protections you are entitled to.

13396. Forming a social enterprise [pdf]

       Documents

       Published: 14/12/2015

       Last modified: 03/08/2016

       Steps and considerations for forming a social enterprise.

13397. Call for Input: Regulatory Barriers to Social Investments [pdf]

       Calls for input

       Published: 14/12/2015

       Last modified: 03/08/2016

13398. Final Notice 2015: Paivi Grigg [pdf]

       Final notices

       Published: 11/12/2015

       Last modified: 17/12/2015

       This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine.

13399. FCA decision notice 2015: Charles Palmer [pdf]

       Decision notices

       Published: 11/12/2015

       Last modified: 11/12/2015

       This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty

13400. Mobile phone insurance: Follow-up review findings [pdf]

       Thematic reviews

       Published: 10/12/2015

       Last modified: 10/12/2015

       This report presents the findings from our follow-up review of the mobile phone insurance market.