Publications

Showing 9941 to 9950 of 18822 search results.

9941. Final Notice 2019: UBS AG [pdf]

      Final notices

      Published: 19/03/2019

      This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine.

9942. The Operation of the MiFID Transparency Regime post-Brexit: technical communication [pdf]

      Systems information

      Published: 19/03/2019

9943. HMRC communication to London Capital & Finance Plc bondholders [pdf]

      Documents

      Published: 19/03/2019

      Last modified: 18/09/2020

      HMRC contacted bondholders to inform them that they had decided that the Innovative Finance ISAs offered to investors by LCF did not comply with the requirements of the ISA regulations.

9944. Modern Slavery and Human Trafficking Statement for the financial year ending 31 March 2018 [pdf]

      Corporate documents

      Published: 18/03/2019

9945. TR19/1: Debt management sector thematic review [pdf]

      Thematic reviews

      Published: 15/03/2019

      This report shares the findings of our thematic review of the debt management sector, which aimed to test whether firms within the debt management sector are meeting our standards, treating their new and existing customers fairly, and delivering

9946. Final Notice 2019: Lewis Alexander Limited [pdf]

      Final notices

      Published: 15/03/2019

      This final notice refers to a failure to satisfy threshold conditions 2C (effective supervision), 2D (appropriate resources), and 2E (suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of the applicant’s Part 4A

9947. TR19/1: Debt management sector thematic review

      Thematic reviews

      Published: 15/03/2019

      Last modified: 15/03/2019

      This report shares the key findings of our thematic review of the debt management sector.We committed in our 2017/18 Business Plan to assess how the market is operating and whether firms are meeting customer needs and our standards.

9948. Final Notice 2019: Indiemini Ltd [pdf]

      Final notices

      Published: 14/03/2019

      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.

9949. CP19/13: Recovering the costs of the Office for Professional Body Anti-Money-laundering Supervision (OPBAS): further consultation on fees structure [pdf]

      Consultation papers

      Published: 14/03/2019

9950. CP19/12: Consultation on Investment Platforms Market Study Remedies [pdf]

      Consultation papers

      Published: 14/03/2019