Publications

Showing 7871 to 7880 of 18845 search results.

7871. List of pension scheme arrangements exempted from the clearing obligation [pdf]

      Published: 17/12/2020

      Pension Scheme Arrangements (PSAs) in the UK and EEA that are temporarily exempted from the clearing obligation under UK

7872. Information on the number of firms with cancelled permissions - December 2020

      FOI releases

      Published: 17/12/2020

      Last modified: 25/10/2022

      The FCA provides data on the firms that have had their permission cancelled by the FCA for the last 5 years as at 4 December 2020.

7873. PS20/16: Updating the Dual-regulated firms Remuneration Code to reflect CRD V

      Policy statements

      Published: 17/12/2020

      Last modified: 25/02/2021

      This PS summarises the feedback we received during the consultation period and our response to it. We set out our final rules on remuneration for dual-regulated firms and revise our previous guidance.

7874. FG20/5: Dual-regulated firms Remuneration Code (SYSC 19D): FAQs on remuneration

      Finalised guidance

      Published: 17/12/2020

      Last modified: 18/12/2020

      We give firms practical information to understand how the EBA Guidelines on sound remuneration policies apply to them, and clarify our Dual-regulated firms Remuneration Code.

7875. FG20/4: General guidance on proportionality: the Dual-regulated firms Remuneration Code (SYSC 19D)

      Finalised guidance

      Published: 17/12/2020

      Last modified: 18/12/2020

      This guidance relates to the Dual-regulated firms Remuneration Code in SYSC 19D. It explains the operation of the dual-regulated firms remuneration principles proportionality rule, and part-year Dual-regulated firms Remuneration Code staff.

7876. Supervisory Statement on the Operation of the MiFID Markets Regime after the end of the EU withdrawal transition period [pdf]

      Documents

      Published: 16/12/2020

      This statement sets out how we will operate the pre- and post-trade transparency regime for the secondary trading of financial instruments after the transition period.

7877. Final Notice 2020: Barclays [pdf]

      Final notices

      Published: 15/12/2020

      This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty.

7878. Final Notice 2020: Corrado Abbattista [pdf]

      Final notices

      Published: 15/12/2020

      This Final Notice refers to breaches of FIT and MAR related to market abuse in the trading firm sector. We imposed a prohibition and financial penalty. File updated to include autotag accessibility requirement.

7879. FCA Financial Instruments Transparency System (FITRS) instructions [pdf]

      Systems information

      Published: 15/12/2020

      Instructions on access and download of full and delta transparency files.

7880. Aggregate complaints data to 2020 H1 [xlsx]

      Data

      Published: 15/12/2020

      Aggregate sector wide firm complaints data for 2020 H1. Including opened, closed, upheld, speed of closure and redress.