Publications

Showing 10211 to 10220 of 18845 search results.

10211. AIFMD Material Change Notification [doc]

       Forms

       Published: 18/01/2019

       You should use this form if you are a UK AIFM that wishes to notify the FCA before implementation of a material change to the conditions for initial authorisation in accordance with implementing provisions relating to SUP 15.3.26 of the FCA Handbook.

10212. Final Notice 2019: James Edward Sheriff (trading as Diamond Car Sales) [pdf]

       Final notices

       Published: 16/01/2019

       This final notice (James Edward Sheriff trading as Diamond Car Sales) 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

10213. Final Notice 2019: Alexander Clearie Dick (trading as Village Cars Saline) [pdf]

       Final notices

       Published: 16/01/2019

       This final notice (Alexander Clearie Dick trading as Village Cars Saline) 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

10214. Final Notice 2019: Stewart Owen Ford [pdf]

       Final notices

       Published: 16/01/2019

       This final notice (Stewart Owen Ford) refers to breaches by an executive director of APER 1, APER 4 and FIT related to mis-selling, failing to be open and co-operative, a lack of fitness/propriety, conflicts of interest, and failing to act on

10215. Final Notice 2019: Mark John Owen [pdf]

       Final notices

       Published: 16/01/2019

       This final notice (Mark John Owen) refers to breaches by an executive director of APER 1, APER 4 and FIT related to a lack of fitness/propriety and failing to act on information appropriately in the asset management sector. We imposed a fine and

10216. First Supervisory Notice 2019: Organic Investment Management Limited [pdf]

       Supervisory notices

       Published: 16/01/2019

       This first supervisory notice (Organic Investment Management Limited) refers to a failure to satisfy the appropriate resources threshold condition (COND) and breaches of SYSC. We imposed requirements on the firm.

10217. The FCA's response to the Complaints Commissioner's Report addendum to FCA00269 [pdf]

       Corporate documents

       Published: 15/01/2019

10218. CP19/2: Brexit and contractual continuity [pdf]

       Consultation papers

       Published: 14/01/2019

10219. CP19/1: Recovering the costs of regulating securitisation repositories after the UK leaves the European Union [pdf]

       Consultation papers

       Published: 11/01/2019

10220. Final Notice 2019: VantaBlack Group Limited [pdf]

       Final notices

       Published: 11/01/2019

       This final notice (VantaBlack Group Limited) refers to failure to satisfy threshold conditions (COND), be open and co-operative with the Authority (PRIN 11), provide appropriate resources, be fit and proper, be ready willing and organised, and