Publications

Showing 9201 to 9210 of 18820 search results.

9201. GC19/5: Primary Market Bulletin No. 25

      Guidance consultations

      Published: 27/11/2019

      Last modified: 27/11/2019

      We are consulting on a best practice note for government departments, industry regulators and public bodies only on identifying, controlling and disclosing inside information.

9202. Mini-bonds video transcript [pdf]

      Transcripts

      Published: 26/11/2019

      Firms issue speculative mini-bonds to raise money from investors to lend to a third party or invest in other companies or property.

9203. Temporary intervention on the marketing of speculative mini-bonds to retail investors [pdf]

      Temporary product interventions

      Published: 26/11/2019

      Measures for 12 months from 1 January 2020 to address risks of consumer harm from the promotion of speculative mini-bonds to retail investors

9204. Temporary intervention on the marketing of speculative mini-bonds to retail investors

      Temporary product interventions

      Published: 26/11/2019

      Last modified: 26/11/2019

      We are introducing temporary rules to prevent consumer harm, by banning the promotion of high risk speculative mini-bonds to most retail consumers.

9205. PS19/28: Proxy Advisors (Shareholders’ Rights) Regulations Implementation (DEPP and EG) – Feedback and final rules for CP19/21 [pdf]

      Policy statements

      Published: 25/11/2019

      We are setting out changes to FCA DEPP and EG regulatory guides and processes now that we have new powers to discipline and investigate proxy advisors.

9206. PS19/28: Proxy Advisors (Shareholders’ Rights) Regulations Implementation (DEPP and EG)

      Policy statements

      Published: 25/11/2019

      Last modified: 25/11/2019

      We are setting out changes to our DEPP and EG regulatory guides and processes now that we have new powers to discipline and investigate proxy advisors.

9207. Final Notice 2019: William Nelson [pdf]

      Final notices

      Published: 22/11/2019

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

9208. Handbook Notice 71 [pdf]

      Handbook

      Published: 22/11/2019

      This Handbook Notice describes certain changes to the Handbook and other material made by the Financial Conduct Authority (FCA) Board under its legislative and other statutory powers on 24 October 2019 and 21 November 2019. Additionally, this Notice

9209. Final Notice 2019: William Scott Dickson (WD Motors trading as) [pdf]

      Final notices

      Published: 22/11/2019

      This final notice (William Scott Dickson (WD Motors trading as)) refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation

9210. Video transcript: FCA explains - using CMCs [pdf]

      Transcripts

      Published: 22/11/2019

      Transcript for FCA explains video: using CMCs