Publications

Showing 13081 to 13090 of 18851 search results.

13081. FCA decision notice 2016: Arif Hussein [pdf]

       Decision notices

       Published: 14/04/2016

       Last modified: 14/04/2016

       This decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment bank sector. Our view is that a prohibition should be imposed.

13082. Final notice 2016: Glyn Goodyear [pdf]

       Final notices

       Published: 14/04/2016

       Last modified: 14/04/2016

       This final notice refers to breaches of PRIN 6, PRIN 11, COND and DISP related to failing to be open and co-operative, unfair treatment of customers and threshold conditions in the consumer credit sector. We imposed a cancellation.

13083. CP16/10: Proposed Implementation of the Enforcement Review and the Green Report [pdf]

       Consultation papers

       Published: 14/04/2016

       Last modified: 14/04/2016

       This Consultation Paper includes proposed changes to the FCA’s Decision Procedure and Penalties Manual and Enforcement Guide.

13084. CP16/10: Proposed implementation of the Enforcement Review and the Green Report

       Consultation papers

       Published: 14/04/2016

       Last modified: 14/04/2016

       CP16/10: Proposed implementation of the Enforcement Review and the Green Report. Consultation papers First published:. 14/04/2016. Last updated: 14/04/2016. Share page. CP16/10: Proposed implementation of the Enforcement Review and the Green Report.

13085. Occasional Paper 15: Quid pro quo? What factors influence IPO allocations to investors? [pdf]

       FCA research

       Published: 13/04/2016

       Last modified: 13/04/2016

13086. DP16/3: Availability of information in the UK Equity IPO process [pdf]

       Discussion papers

       Published: 13/04/2016

       Last modified: 13/04/2016

13087. MS15/1.2 Investment and corporate banking market study: Interim report [pdf]

       Market studies

       Published: 13/04/2016

       Last modified: 13/04/2016

       In this interim report, we set out our views based on our work to date on how competition works and on outcomes for clients.

13088. MS15/1.2 Investment and corporate banking market study: Interim report: Annex 6 [pdf]

       Market studies

       Published: 13/04/2016

       Last modified: 13/04/2016

       Cross-selling, bundling and cross-subsidisation supporting analysis

13089. MS15/1.2 Investment and corporate banking market study: Interim report: Annex 5 [pdf]

       Market studies

       Published: 13/04/2016

       Last modified: 13/04/2016

       Transparency of scope of services and fees

13090. MS15/1.2 Investment and corporate banking market study: Interim report: Annex 8 [pdf]

       Market studies

       Published: 13/04/2016

       Last modified: 13/04/2016

       List of consultation questions on potential remedies