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Showing 13021 to 13030 of 18851 search results.

  1. Suspicious Transaction and Order Reports (STORs) Update - February 2016 [pdf]

    Systems information

    Published: 10/05/2016

    Last modified: 04/08/2016

  2. MiFID II Conduct Forum, April 2016: presentation [pdf]

    Systems information

    Published: 10/05/2016

    Last modified: 04/08/2016

  3. Minutes of the MiFID II implementation: Conduct Forum, April 2016 [pdf]

    Meeting minutes

    Published: 10/05/2016

    Last modified: 10/05/2016

    From the meeting held on 18 April 2016.

  4. Final notice 2016: Nasser Yusuf trading as Advance Money Management [pdf]

    Final notices

    Published: 09/05/2016

    Last modified: 09/05/2016

    This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.

  5. Final notice 2016: Terence Andrew Joint [pdf]

    Final notices

    Published: 09/05/2016

    Last modified: 09/05/2016

    This final notice refers to breaches of APER 6, APER 7, FIT and CASS related to a lack of fitness/propriety and client money/assets misconduct in the general insurance and protection sector. We imposed a fine and prohibition.

  6. Regulatory Sandbox – application form [docx]

    Forms

    Published: 09/05/2016

    Last modified: 22/10/2019

    We’ve set up a Regulatory Sandbox to enable a safe space for businesses to test innovative products, services, business models and delivery mechanisms

  7. FCA key performance indicators (KPIs) - 2015/2016: March 2016 [pdf]

    Corporate documents

    Published: 09/05/2016

    Last modified: 09/05/2016

    We are making more information about our performance available, by publishing key performance indicators (KPIs).

  8. Hospitality and Gifts Log – January to March 2016 [pdf]

    FOI releases

    Published: 06/05/2016

    Last modified: 10/05/2016

  9. Tracey McDermott, Acting Chief Executive - diary engagements - January to March 2016 [pdf]

    FOI releases

    Published: 06/05/2016

    Last modified: 10/05/2016

  10. Christopher Woolard, Director of Strategy and Competition - diary engagements - January to March 2016 [pdf]

    FOI releases

    Published: 06/05/2016

    Last modified: 10/05/2016

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