Publications

Showing 12501 to 12510 of 18850 search results.

12501. Gabriel profile switch rules [pdf]

       Systems information

       Published: 20/12/2016

       Profile switches are a series of true/false flags based on a firm’s characteristics such as its permitted activities and legal status. They are used within some of the RMA data items to 'switch off' specific elements which are not relevant to the

12502. Pre-trade transparency waivers [pdf]

       Correspondence

       Published: 19/12/2016

       On 19 December 2016 ESMA published Q&A on the process of how it delivers opinions to national competent authorities on pre-trade transparency waivers. In light of this we have written to UK operators of trading venues. This letter is relevant to

12503. Final Notice 2016: Tim Morse [pdf]

       Final notices

       Published: 16/12/2016

       Last modified: 16/12/2016

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

12504. Occasional Paper 24: Behaviour and compliance in organisations [pdf]

       FCA research

       Published: 16/12/2016

       This paper discusses the complex range of factors that influence effective compliance and provides suggestions for how regulators and firms can improve levels of compliance.

12505. CP16/43: Markets in Financial Instruments Directive II implementation – Consultation Paper IV [pdf]

       Consultation papers

       Published: 16/12/2016

       We are consulting on our fourth set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook.

12506. Occasional Paper No. 25: Incentivising compliance with financial regulation [pdf]

       FCA research

       Published: 16/12/2016

       This paper looks into the basic economic theory of incentives and how they can be used to enhance compliance in financial regulation.

12507. Final Notice 2016: Longlands Cars Stockton Limited [pdf]

       Final notices

       Published: 16/12/2016

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

12508. Response to the Complaints Commissioner’s report FCA00212 [pdf]

       Corporate documents

       Published: 16/12/2016

       Last modified: 16/12/2016

       We have considered the final report of the Complaints Commissioner on complaint FCA00212.

12509. Minutes: FCA Board 2 and 3 November 2016 [pdf]

       Meeting minutes

       Published: 16/12/2016

12510. Occasional Paper No. 24: Behaviour and compliance in organisations

       Occasional papers FCA research

       Published: 16/12/2016

       Last modified: 03/06/2026

       This paper discusses the factors that influence effective compliance and provides suggestions for how regulators and firms can improve levels of compliance.