Publications

Filter results

Filter by topic

Historical publications

Filter by date
Date range

Filter by document type

Search results

Clear all filters

Showing 10061 to 10070 of 18845 search results.

  1. PS19/5: Brexit Policy Statement: appendix 2 [pdf]

    Policy statements

    Published: 28/02/2019

    Near-final BTS instruments

  2. FCA Transitional Direction: explanatory note [pdf]

    Handbook

    Published: 28/02/2019

    Explanatory note: Draft directions under Part 7 of the Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 (Transitional Powers of the Financial Regulators)

  3. Final Notice 2019: Gary Nuttall [pdf]

    Final notices

    Published: 28/02/2019

    This final notice (Gary Nuttall) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

  4. Final Notice 2019: Douglas Eynon [pdf]

    Final notices

    Published: 28/02/2019

    Last modified: 28/02/2019

    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

  5. PS19/5 and feedback on our Brexit consultations

    Policy statements

    Published: 28/02/2019

    Last modified: 22/12/2020

    We set out our response to the feedback we received from our Brexit consultations.

  6. Final Notice 2019: Shahidur Rahman Chowdhury [pdf]

    Final notices

    Published: 28/02/2019

    This final notice (Shahidur Rahman Chowdhury) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

  7. Final Notice 2019: Premier Car Sales NW Ltd [pdf]

    Final notices

    Published: 28/02/2019

    This final notice (Premier Car Sales NW Ltd) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

  8. Review on disclosure of costs by asset managers

    Multi-firm reviews

    Published: 28/02/2019

    Last modified: 18/02/2026

    We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are.

  9. Second Supervisory Notice 2019: London Capital & Finance PLC [pdf]

    Supervisory notices

    Published: 28/02/2019

    Last modified: 28/02/2019

    This second supervisory notice (London Capital & Finance PLC) refers to communications in relation to the firm's 'Fixed Rate ISA or Bond' which the FCA considers to be misleading, not fair, not clear and in breach of COBS 4.2.1R. We imposed

  10. MiFID II costs and charges disclosures review findings

    Multi-firm reviews

    Published: 28/02/2019

    Last modified: 28/02/2019

    As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and
Did you find what you were looking for?