Publications

Showing 141 to 150 of 205 search results.

141. Letter to UK Finance: Suspicious Activity Reports (SARs) and Suspicious Transaction and Order Reports (STORs) [pdf]

     Correspondence

     Published: 18/10/2019

     On 6 September 2019, we wrote to UK Finance with our expectations on the application of the SAR and STOR regimes to firms.

142. 2019 Letter to RemCo Chairs: Our approach [pdf]

     Correspondence

     Published: 28/08/2019

143. Letter to Lord Myners: Undertakings for Collective Investment in Transferable Securities [pdf]

     Correspondence

     Published: 06/08/2019

     Letter to Lord Myners regarding a review of the case for the UK establishing its own requirements for liquidity standards for Undertakings for Collective Investment in Transferable Securities.

144. Letter to Lord Myners: Lendy Ltd [pdf]

     Correspondence

     Published: 30/07/2019

     Letter to Lord Myners regarding the questions posed to Her Majesty’s Government in relation to Lendy Ltd.

145. Letter to Rt Hon. Nicky Morgan MP, Chair of the Treasury Committee on LF Woodford Equity Income Fund [pdf]

     Correspondence

     Published: 19/06/2019

     Andrew Bailey, Chief Executive of the FCA wrote to Rt Hon. Nicky Morgan MP, Chair of the Treasury Committee. This was in response to Nicky Morgan’s letter on the 10 June 2019 which asked for information from the FCA regarding issues relating to

146. Retail Mini-Bond Regulation and London Capital & Finance [pdf]

     Correspondence

     Published: 02/04/2019

147. Letter to unregistered CMCs [docx]

     Correspondence

     Published: 01/04/2019

148. Letter to firms: Credit card fees and charges – results of our review [pdf]

     Correspondence

     Published: 06/03/2019

149. Letter to CMA regarding CMA Market Investigation: Investment Consultancy and Fiduciary Management Services [pdf]

     Correspondence

     Published: 26/02/2019

     On 21 February 2019, Christopher Woolard wrote to John Wotton from the Competition and Markets Authority to explain how we will respond to the recommendations in the CMA's report on investment consultancy and fiduciary management services. This

150. Letter to Rt Hon Nicky Morgan MP from Andrew Bailey regarding improving switching options for mortgage customers [pdf]

     Correspondence

     Published: 10/01/2019