Publications

Showing 4791 to 4800 of 18809 search results.

4791. Our supervision strategy for corporate finance firms: portfolio letter [pdf]

      Portfolio letters

      Published: 28/09/2023

      Letter outlines harms to consumers and markets the FCA thinks are most likely to arise from corporate finance firms' business models.

4792. Our platforms supervision strategy: portfolio letter [pdf]

      Portfolio letters

      Published: 28/09/2023

      Update on FCA's view of key harms in this sector, its expectations and a summary of the work it intends to do.

4793. Improving the Appointed Representatives regime through greater use of data

      Data

      Published: 28/09/2023

      Last modified: 03/10/2023

      This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and

4794. CP23/21: Consumer Credit – Product Sales Data Reporting [pdf]

      Consultation papers

      Published: 27/09/2023

      This Consultation Paper seeks views on our proposal to introduce 3 new Product Sales Data (PSD) returns into Chapter 16 of the Supervision manual (SUP 16).

4795. Financial Promotions for high-risk investments

      Multi-firm reviews

      Published: 27/09/2023

      Last modified: 20/05/2024

      We outline the findings of our review of how firms offering restricted mass market investments (RMMIs) have complied with new rules on the customer journey. We identify examples of good and poor practice for the wider sector to consider and make any

4796. British Steel Pension Scheme: Ongoing reporting requirements user guide [pdf]

      Documents

      Published: 26/09/2023

      A user guide to assist firms in complying with reporting requirements.

4797. Final Notice 2023: Jason Morrison [pdf]

      Final notices

      Published: 25/09/2023

      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.

4798. CP23/20: Diversity and inclusion in the financial sector – working together to drive change [pdf]

      Consultation papers

      Published: 25/09/2023

      CP23/20: Diversity and inclusion in the financial sector – working together to drive change

4799. Final Notice 2023: Meadowbrook Motors Limited [pdf]

      Final notices

      Published: 25/09/2023

      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.

4800. Regulatory Return REP Diversity and Inclusion template [xlsx]

      Forms

      Published: 25/09/2023

      Regulatory Return REP Diversity and Inclusion template.