Publications

Showing 6821 to 6830 of 18813 search results.

6821. Portfolio letter: Outsourcing to third party mortgage administrators [pdf]

      Portfolio letters

      Published: 10/08/2021

      Last modified: 30/04/2025

      Portfolio letter: Outsourcing to third party mortgage administrators.

6822. Decision Notice 2021: Geoffrey Edward Armin [pdf]

      Decision notices

      Published: 09/08/2021

      This decision notice (Geoffrey Edward Armin) refers to breaches of APER 2, APER 7, FIT and COBS related to failing to demonstrate that suitable advice was given in the investment adviser and pensions sector. Our view is that a financial penalty and

6823. Information on Covid whistleblowing reports for 2020/21 - August 2021

      FOI releases

      Published: 09/08/2021

      Last modified: 25/10/2022

      The FCA provides information on the covid-specific whistleblower allegations referred to in the FCA's annual report for 2020/21.

6824. Information on the data request to financial advisers of the Rolls-Royce DB Scheme - August 2021

      FOI releases

      Published: 09/08/2021

      Last modified: 25/10/2022

      The FCA provides information relating to the FCA's data request to financial advisers of the Rolls-Royce DB scheme.

6825. CP21/26: A new UK prudential regime for MiFID investment firms [pdf]

      Consultation papers

      Published: 06/08/2021

      We are seeking views on the third tranche of our proposed rules to introduce the Investment Firms Prudential Regime a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive.

6826. MIFIDPRU 2 Annex 8R [pdf]

      Forms

      Published: 06/08/2021

      Notification under MIFIDPRU 2.4.20R of membership of an investment firm group and/or a financial conglomerate.

6827. MIFIDPRU 1 Annex 5R [pdf]

      Forms

      Published: 06/08/2021

      Application for a permission under MIFIDPRU for which there is no dedicated application form.

6828. MoU Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision and Oversight of Certain Cross-Border Over-the-Counter Derivatives Entities [pdf]

      Memorandums of understanding

      Published: 06/08/2021

      Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision and Oversight of Certain Cross-Border Over-the-Counter Derivatives Entities In Connection with the Use of Substituted

6829. IP1 - Template on proportion of voting-rights [pdf]

      Forms

      Published: 06/08/2021

      IP1 - Template on proportion of voting-rights

6830. Template OF1 - CompositTemplate OF1 - Composition of regulatory own fundsion of regulatory own funds [pdf]

      Forms

      Published: 06/08/2021

      Template OF1 - Composition of regulatory own funds