Publications

Showing 8931 to 8940 of 18821 search results.

8931. First Supervisory Notice 2020: Triton Insurance Brokers Ltd [pdf]

      Supervisory notices

      Published: 20/03/2020

      We varied the firm’s permission and imposed requirements on the firm.

8932. Information on the number of regulated advice firms who have given up defined benefit (DB) pension transfer permissions - March 2020

      FOI releases

      Published: 20/03/2020

      Last modified: 25/10/2022

      The Information on the number of regulated advice firms who have given up defined benefit (DB) pension transfer permissions between 1 April 2019 and 28 February 2020.

8933. Warning Notice Statement 20/1 [pdf]

      Warning notices

      Published: 19/03/2020

      The Financial Conduct Authority gave an individual a warning notice on 19 March 2020 proposing to take action in respect of the conduct summarised in this statement.

8934. OPBAS: Progress and themes from 2019 [pdf]

      OPBAS

      Published: 19/03/2020

      The purpose of this report is to provide an overview of Anti-Money Laundering (AML) supervision by the Professional Body Supervisors (PBSs) at the end of 2019.

8935. First Supervisory Notice 2020: Uncle Buck Finance LLP [pdf]

      Supervisory notices

      Published: 19/03/2020

      First Supervisory Notice 2020: Uncle Buck Finance LLP

8936. inside-fca-transcript-cyber-resilience-and-security.pdf [pdf]

      Transcripts

      Published: 18/03/2020

      Read the transcript for the Inside FCA Podcast interview with Robin Jones on cyber security and resilience.

8937. Information on the FCA's Advice Unit - March 2020

      FOI releases

      Published: 18/03/2020

      Last modified: 25/10/2022

      The FCA provides information on the number of firm's who have applied for the FCA's Advice Unit, and more.

8938. Information regarding investigations into spoofing - March 2020

      FOI releases

      Published: 18/03/2020

      Last modified: 25/10/2022

      The FCA provides information on the number of active investigations into spoofing, and the number opened in 2018 and 2019.

8939. Information relating to applications for de-authorisation in the defined benefit transfer market - March 2020

      FOI releases

      Published: 18/03/2020

      Last modified: 25/10/2022

      The FCA provides information relating to applications for de-authorisation in the defined benefit transfer market.

8940. Primary Market Bulletin Issue No. 27 – Coronavirus update

      Newsletters

      Published: 17/03/2020

      Last modified: 11/06/2026

      This special edition of the FCA’s Primary Market Bulletin covers the impact of the coronavirus (Covid-19) pandemic on market volatility, trading suspensions, reporting, disclosure, and transactions and admissions.