Publications
Search results
Showing 5921 to 5930 of 18816 search results.
-
Stephen Braviner Roman, diary engagements, April - June 2022 [pdf]
External meetings (excludes meetings with regulated firms). -
Information on funds authorised since 2015 - July 2022
The FCA provides information on the number of all Funds (including authorised Funds, AIFs, UCITs & Collective Investment Schemes) authorised since 2015. -
Review of TCFD-aligned disclosures by premium listed commercial companies
Following the introduction of a climate-related disclosure rule as a first step to improving the quality and quantity of disclosures across the corporate sector, we outline our preliminary observations and reiterate our expectations. -
Decision Notice 2022: Richard Adam [pdf]
The Decision Notice (Richard Adam) refers to knowing concern in breaches of the Market Abuse Regulations and Listing Rules, in the issuer’s sector. Our view is that a financial penalty should be imposed. -
Final Notice 2022: Philippe Moryoussef [pdf]
This Final Notice refers to Mr Moryoussef’s fitness and propriety to perform a regulated function, following his conviction for conspiracy to defraud. We have prohibited Mr Moryoussef from performing any function in relation to a regulated activity -
Decision Notice 2022: Zafar Khan [pdf]
The Decision Notice (Zafar Khan) refers to knowing concern in breaches of the Market Abuse Regulations and Listing Rules, in the issuer’s sector. Our view is that a financial penalty should be imposed. -
Decision Notice 2022: Carillion (in liquidation) [pdf]
The Decision Notice (Carillion (in liquidation)) refers to breaches of the Market Abuse Regulations and Listing Rules, within the issuer’s sector. Our view is that a public censure should be imposed. -
Decision Notice 2022: Richard John Howson [pdf]
The Decision Notice (Richard John Howson) refers to knowing concern in breaches of the Market Abuse Regulations and Listing Rules, in the issuer’s sector. Our view is that a financial penalty should be imposed. -
Listing Authority Advisory Panel Annual Report 21/22 [pdf]
Listing Authority Advisory Panel’s Annual Report for 2021-22 -
PS22/9: A new Consumer Duty [pdf]
We set out the final rules and guidance for a new Consumer Duty that will set higher expectations for the standard of care firms give consumers.