Publications

Showing 13411 to 13420 of 18851 search results.

13411. Final Notice 2015: Craig Anthony Welborn [pdf]

       Final notices

       Published: 09/12/2015

       Last modified: 09/12/2015

       This final notice refers to breaches of COND and TC related to failing to be open and co-operativein the consumer credit sector. We imposed a refusal.

13412. PS15/29: Strengthening accountability in banking: Final amendments (including feedback on CP14/13) to the Decision Procedure and Penalties Manual and the Enforcement Guide [pdf]

       Policy statements

       Published: 09/12/2015

       Last modified: 16/12/2015

       In this Policy Statement we report on the main enforcement issues for the FCA arising from Consultation Paper FCA CP14/13/PRA CP14/14 Strengthening accountability in banking: a new regulatory framework for individuals. We also publish our final

13413. TR15/12: Wealth management firms and private banks: suitability of investment portfolios [pdf]

       Thematic reviews

       Published: 09/12/2015

       Last modified: 09/12/2015

       This report presents the findings from our review of suitability of retail investment portfolios provided by wealth management and private banking firms.

13414. TR15/12: Wealth management firms and private banks: suitability of investment portfolios

       Thematic reviews

       Published: 09/12/2015

       Last modified: 29/08/2025

       Findings from FCA's review of suitability of retail investment portfolios provided by wealth management and private banking firms, includes examples of good and poor practice.

13415. PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual and the Enforcement Guide

       Policy statements

       Published: 09/12/2015

       Last modified: 13/02/2026

       In this policy statement, we set out our amendments to the Decision Procedure and Penalties Manual (DEPP) and the Enforcement Guide (EG), to give guidance on how we will enforce the new accountability regime (including the Senior Managers Regime and

13416. Final notice 2015: Big T Media Limited [pdf]

       Final notices

       Published: 08/12/2015

       Last modified: 08/12/2015

       The final notice refers to breaches of COND, CONC, PRIN 11, CASS, SYSC related to threshold conditions and failing to be open and co-operative in the consumer credit sector. We imposed a refusal.

13417. Cash savings: Sunlight remedy - October 2015 [pdf]

       Market studies

       Published: 08/12/2015

       Last modified: 03/08/2016

       Lowest interest rates offered on open and closed easy access accounts and cash ISAs 1 October 2015.

13418. Minutes of the MiFID II implementation roundtable: November 2015 [pdf]

       Meeting minutes

       Published: 08/12/2015

       Last modified: 08/12/2015

       From the meeting held on 30 November 2015

13419. PS15/28: Capital resources requirements for personal investment firms (PIFs): feedback on CP15/17 and final rules [pdf]

       Policy statements

       Published: 08/12/2015

       Last modified: 08/12/2015

       In this Policy Statement we report on the main issues arising from CP15/17: Capital resources requirements for personal investment firms (PIFs) and publish the final rules.

13420. PS15/27: Cash savings remedies: Feedback and Policy Statement to CP15/24 and next steps [pdf]

       Policy statements

       Published: 08/12/2015

       Last modified: 08/12/2015

       In this Policy Statement we report on the main issues arising from CP15/24 and publish the final rules.