Publications

Showing 4101 to 4110 of 18809 search results.

4101. Notice of Decision 2024: Headstone Associates Limited [pdf]

      Decision notices

      Published: 26/04/2024

      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

4102. FCA Technical Note: Sponsors who are part of an investment management group – FCA TN 707.1 (Amendment) [pdf]

      Primary market

      Published: 26/04/2024

      Technical detail on how the relationships between issuers and sponsor firms will be treated under UK Listing Rules.

4103. FCA Technical Note: Sponsors - Guidance on the competence requirements set out under LR 8.6.7R(2)(b) - FCA/TN/714.4 (amendment) [pdf]

      Primary market

      Published: 26/04/2024

      FCA Technical Note: Sponsors - Guidance on the competence requirements set out under LR 8.6.7R(2)(b) - FCA/TN/714.4 (amendment)

4104. FCA Technical Note: Sponsors - Practical implications of competence requirements for sponsors and applicants FCA/TN/715.3 (amendment) [pdf]

      Primary market

      Published: 26/04/2024

      FCA Technical Note: Sponsors - Practical implications of competence requirements for sponsors and applicants FCA/TN/715.3 (amendment)

4105. FCA Technical Note: Sponsors’ obligations on financial position and prospects procedures – FCA TN 708.3 (Amendment) [pdf]

      Primary market

      Published: 26/04/2024

      Understand how the FCA expects sponsors to approach their work to comply with obligations under UKLR 24.3.2R(5).

4106. FCA Technical Note 203.4 amendment [pdf]

      Primary market

      Published: 26/04/2024

      FCA Technical Note 203.4 amendment

4107. FCA Technical Note: Principles for sponsors – FCA TN 710.1 (Amendment) [pdf]

      Primary market

      Published: 26/04/2024

      Check how to apply the definition of sponsor service for appointment notifications, document approval, submissions, aborted transactions and FCA communications.

4108. FCA Technical Note: Sponsors’ duty regarding directors of listed companies - FCA TN 718.1 (Amendment) [pdf]

      Primary market

      Published: 26/04/2024

      FCA Technical Note: Sponsors’ duty regarding directors of listed companies - FCA TN 718.1 (Amendment).

4109. FCA Technical Note: Additional powers to supervise and discipline sponsors – FCA TN 712.2 (Amendment) [pdf]

      Primary market

      Published: 26/04/2024

      Additional rules affecting sponsors under section 88 of the Financial Services and Markets Act.

4110. FCA Technical Note: Sponsors’ obligations on no adverse impact - FCA TN 720.1 (Amendment) [pdf]

      Primary market

      Published: 26/04/2024

      FCA Technical Note: Sponsors’ obligations on no adverse impact - FCA TN 720.1 (Amendment).