Publications

Showing 12401 to 12410 of 18851 search results.

12401. PS17/1: Implementation of the Enforcement Review and the Green Report [pdf]

       Policy statements

       Published: 01/02/2017

       In this Policy Statement we report on the main issues arising from Consultation Paper 16/10 Proposed Implementation of the Enforcement Review and the Green Report. It publishes final amendments to the FCA’s Glossary, the Decision Procedure and

12402. FCA Q3 16/17 Number of skilled person reports commissioned [pdf]

       Data

       Published: 01/02/2017

       Under the Financial Services and Markets Act, as amended by the 2012 Act, the FCA has the power to obtain a view from a third party (a ‘skilled person’) about aspects of a regulated firm's activities if it is concerned or wants further analysis.

12403. Minutes of meeting - Stakeholder Liaison Group - 1 December 2016 [pdf]

       Meeting minutes

       Published: 01/02/2017

12404. Supervision review report: Acquiring clients from other firms [pdf]

       FCA research FCA performance and operational data

       Published: 01/02/2017

       This report presents the findings of our recent review of investment advisory firms’ practices when acquiring clients from other firms.

12405. Supervision review report: Acquiring clients from other firms

       Research insights

       Published: 01/02/2017

       Last modified: 21/08/2017

       We are reporting our findings of our supervision review of investment advisory firms’ practices when acquiring clients from other firms.

12406. Implementation of the Enforcement Review and the Green Report: PS17/1

       Policy statements

       Published: 01/02/2017

       Last modified: 25/09/2025

       We are reporting on the main issues arising from CP16/10.

12407. Final Notice 2017: Deutsche Bank [pdf]

       Final notices

       Published: 31/01/2017

       This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine.

12408. CP17/3: Proposed Handbook changes to reflect the new regulatory framework for Insurance Linked Securities [pdf]

       Consultation papers

       Published: 31/01/2017

       We are consulting on our proposals for the changes required to the FCA Handbook to incorporate the new regulated activity of insurance risk transformation.

12409. Market Data Processor (MDP) on-boarding application form [doc]

       Forms

       Published: 30/01/2017

       This MDP on-boarding application form is used to advise us what MiFID II data types an entity will be submitting.

12410. Correspondence with chief executive of Standard Chartered Bank concerning appointment of Tracey McDermott [pdf]

       Correspondence

       Published: 30/01/2017