Publications

Showing 4421 to 4430 of 18809 search results.

4421. Authorisations operating service metrics 2023/24 Q3 [pdf]

      Data

      Published: 13/02/2024

      This 2023/24 Q3 update covers the FCA's progress on service standards for authorisations case work.

4422. Primary market effectiveness podcast [mp3]

      Published: 12/02/2024

4423. Inside FCA Podcast: Interview with Mark Austin and Clare Cole on listing reform and primary market effectiveness [pdf]

      Transcripts

      Published: 12/02/2024

      Inside FCA Podcast: Transcript of interview with Mark Austin and Clare Cole on listing reform and primary market effectiveness.

4424. Notice of Decision 2024: Millstream BMW [pdf]

      Decision notices

      Published: 09/02/2024

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

4425. Notice of Decision 2024: KBFS Financial Limited [pdf]

      Decision notices

      Published: 09/02/2024

      Headnote sentence: KBFS Financial Limited

4426. Final Notice 2024: Victoria Snoddy [pdf]

      Final notices

      Published: 08/02/2024

      This Final Notice (Victoria Snoddy) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a new firm authorisation application. We have refused the Application.

4427. Final Notice 2024: Nicholas Andrew McNeil [pdf]

      Final notices

      Published: 08/02/2024

      This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

4428. Reducing and preventing financial crime

      Corporate documents

      Published: 08/02/2024

      Last modified: 12/02/2026

      We are providing an update on our progress and looking ahead to identify 4 areas of focus in the coming year.

4429. Portfolio letter: Wholesale banking sector [pdf]

      Portfolio letters

      Published: 08/02/2024

      FCA letter to the wholesale banking sector after our portfolio analysis and strategy forum.

4430. Notice of Decision 2024: Avili Motors Ltd [pdf]

      Decision notices

      Published: 07/02/2024

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