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Final Notice 2015: John Edward Duncan Field [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Minutes: FCA Board 03 and 04 June 2015 [pdf]
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Minutes: FCA Board 18 June 2015 [pdf]
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FG15/9 - Market studies and market investigation references
On 15 January 2015 we consulted on draft guidance setting out our powers and procedures in relation to conducting market studies under FSMA or under the Enterprise Act 2002 (EA02) and referring markets to the Competition and Markets Authority for -
CP15/23: Ring-fencing: Disclosures to consumers by non-ring-fenced bodies [pdf]
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FG15/8 - FCA's powers and procedures under the Competition Act 1998
Guidance for firms and their advisers setting out our powers and how we investigate and enforce against potential breaches of UK competition law. -
PS15/18: FCA Competition Concurrency Guidance and Handbook amendments: Feedback on CP15/01, finalised guidance and rules
We report on the main issues arising from CP15/01 FCA Competition Concurrency Guidance and Handbook amendments. -
CP15/23: Ring-fencing: Disclosures to consumers by non-ring-fenced bodies
CP15/23: Ring-fencing: Disclosures to consumers by non-ring-fenced bodies. Consultation papers First published:. 14/07/2015. Last updated: 14/07/2015. Share page. CP15/23: Ring-fencing: Disclosures to consumers by non-ring-fenced bodies. We are -
Final Notice 2015: Paul Robertson trading as Tony Robertson Insurance [pdf]
This final notice refers to breaches of PRIN 11 related to threshold conditions and failing to be open and co-operative in the mortgages sector. We imposed a cancellation. -
FOI3900 response [pdf]