Publications

Showing 9931 to 9940 of 18845 search results.

9931. Claims Management - Notes [docx]

      Forms

      Published: 01/04/2019

      Last modified: 06/11/2023

      Claims Management - Notes

9932. Memorandum of Understanding between the SRA and the FCA [pdf]

      Memorandums of understanding

      Published: 01/04/2019

9933. Letter to unregistered CMCs [docx]

      Correspondence

      Published: 01/04/2019

9934. Final Notice 2019: Goldman Sachs International [pdf]

      Final notices

      Published: 01/04/2019

      This final notice (Goldman Sachs International) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine.

9935. Claims Management - Supplement - Form [docx]

      Forms

      Published: 01/04/2019

      Last modified: 17/03/2022

      Claims Management - Supplement - Form

9936. Claims Management - Individual - Form [docx]

      Forms

      Published: 01/04/2019

9937. Claims Management - Individual - Notes [docx]

      Forms

      Published: 01/04/2019

9938. Claims Management - Supplement - Notes [docx]

      Forms

      Published: 01/04/2019

      Last modified: 11/02/2022

      Claims Management - Supplement - Notes

9939. Handbook Notice 64 [pdf]

      Handbook

      Published: 29/03/2019

      This Handbook Notice describes certain changes to the Handbook, Binding Technical Standards and other material made by the Financial Conduct Authority (FCA) Board under its legislative and other statutory powers on 28 February and 28 March 2019.

9940. Product intervention measures for retail binary options [pdf]

      Policy statements

      Published: 29/03/2019

      The FCA sets out its final position and Handbook rules to permanently prohibit the sale, marketing and distribution of binary options to retail consumers by firms that carry out activity in, or from, the UK.