Publications

Showing 12251 to 12260 of 18851 search results.

12251. Final Notice 2017: Ashton Patterson [pdf]

       Final notices

       Published: 29/03/2017

       This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

12252. Final Notice 2017: Philip Gee [pdf]

       Final notices

       Published: 29/03/2017

       This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

12253. Final Notice 2017: David Stephen Hancock [pdf]

       Final notices

       Published: 29/03/2017

       This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

12254. Guidance Consultation - UKLA Technical Note 701.3 - Identifying and managing conflicts [PDF] [pdf]

       Guidance consultations

       Published: 29/03/2017

12255. Guidance Consultation - UKLA Technical Note 543.3 - Shareholder obligations [PDF] [pdf]

       Guidance consultations

       Published: 29/03/2017

12256. Primary Market Bulletin Issue 17 [pdf]

       Newsletters

       Published: 29/03/2017

       This edition of the FCA’s Primary Market Bulletin covers managing sponsor conflicts of interest.

12257. UKLA Technical Note 714.2 - Sponsors: Guidance on the competence requirements set out under LR 8.6.7R(2)(b) [PDF] [pdf]

       Primary market

       Published: 29/03/2017

12258. UKLA Technical Note 520.2 - Delaying disclosure/dealing with leaks and rumours [PDF] [pdf]

       Primary market

       Published: 29/03/2017

12259. UKLA Technical Note 203.3 - Compliance with the Listing Principles and Premium Listing Principles [PDF] [pdf]

       Primary market

       Published: 29/03/2017

12260. UKLA Procedural Note 910.2 - Additional powers to supervise sponsors [PDF] [pdf]

       Primary market

       Published: 29/03/2017