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Final notice 2019: Tullett Prebon (Europe) Limited [pdf]
This final notice (Tullett Prebon (Europe) Limited) refers to breaches of PRIN 2, PRIN 3 and PRIN 11 related to wholesale conduct and failing to be open and co-operative in the trading firm sector. We imposed a financial penalty. -
SM&CR: Form K user guide for Core Firms with a CF2 who require a non-executive chair (SMF9) [pdf]
Form K is the conversion notification form. It enables firms to tell us which approved individuals they wish to convert from the Approved Persons Regime (APR) to corresponding Senior Management Functions (SMFs) under the Senior Managers & -
Statement on Takeover Panel cold-shouldering of David Cunningham King
The Panel on Takeovers and Mergers published a statement on their website on the 'cold-shouldering' of Mr David Cunningham King, the Chairman of Rangers International Football Club PLC. This means that no FCA-regulated entity can act for this -
FCA Board Minutes: 4 September 2019 [pdf]
Minutes from the FCA Board meeting on the 4 September 2019. -
FCA Board Minutes: 24 and 25 July 2019 [pdf]
Minutes for the FCA Board meeting that took place on 24 and 25 July 2019. -
UK Benchmarks Register removal notification [xlsx]
This form can only be used to remove benchmarks from the register. Separate forms are provided to; add new benchmarks to the register or amend benchmarks already published on the register. -
UK Benchmarks Register amendments notification form [xlsx]
This form can only be used to amend benchmarks already published on the register. Separate forms are provided to; add new benchmarks to the register or remove benchmarks from the register. -
UK Benchmarks Register addition notification form [xlsx]
This form can only be used to add new benchmarks to the register. -
Market Watch issue 61 [pdf]
This edition of Market Watch provides important information to help firms prepare for a possible no deal Brexit on 31 October. -
Final Notice 2019: Christopher O’Sullivan [pdf]
This final notice (Christopher O’Sullivan) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.