Publications

Showing 13301 to 13310 of 18851 search results.

13301. FCA Data Bulletin issue 5 - underlying data [xlsx]

       Data

       Published: 03/02/2016

       Last modified: 03/02/2016

       Underlying data for retirement income market data, consumer credit authorisation data, complaints against the FCA, financial promotions, how we use attestations, and skilled person reports.

13302. CP16/5: Handbook changes to reflect the introduction of the Innovative Finance ISA and the regulated activity of advising on peer-to-peer agreements [pdf]

       Consultation papers

       Published: 02/02/2016

       Last modified: 02/02/2016

       The new Innovative Finance ISA will allow for peer-to-peer (P2P) agreements to be included within an ISA tax wrapper. The Government also intends to make advising on P2P agreements a regulated activity. This consultation paper lists changes we are

13303. PS16/2: Implementation of the UCITS V Directive [pdf]

       Policy statements

       Published: 02/02/2016

       Last modified: 02/02/2016

13304. Dear CEO letter - Client take-on review in firms offering contract for difference (CFD) products [pdf]

       Dear CEO letters

       Published: 02/02/2016

       Last modified: 02/02/2016

       We have recently reviewed the procedures for taking on new clients in a sample of ten firms that offer CFD products.

13305. PS16/2: Implementation of the UCITS V Directive

       Policy statements

       Published: 02/02/2016

       Last modified: 02/02/2016

       PS16/2: Implementation of the UCITS V Directive. Policy statements First published:. 02/02/2016. Last updated: 02/02/2016. Share page. PS16/2: Implementation of the UCITS V Directive. In this Policy Statement (PS) we set out Handbook changes

13306. CP16/5: Handbook changes to reflect the introduction of the Innovative Finance ISA and the regulated activity of advising on peer-to-peer agreements

       Consultation papers

       Published: 02/02/2016

       Last modified: 04/04/2016

       CP16/5: Handbook changes to reflect the introduction of the Innovative Finance ISA and the regulated activity of advising on peer-to-peer agreements. Consultation papers First published:. 02/02/2016. Last updated: 04/04/2016. Share page. CP16/5:

13307. Final notice 2016: Colin J McIntosh [pdf]

       Final notices

       Published: 01/02/2016

       Last modified: 01/02/2016

       This final notice refers to breaches of APER 1, APER 4, APER 7, FIT and CASS related to appointed representatives, client money, failing to act on information appropriately, failing to be open and co-operative, lack of fitness/propriety and unfair

13308. Final notice 2016: Shay Jacob Reches [pdf]

       Final notices

       Published: 01/02/2016

       Last modified: 01/02/2016

       This final notice refers to breaches of section 63A and FIT related to appointed representatives, failing to be open and co-operative, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and protection

13309. FOI4297 response [pdf]

       FOI releases

       Published: 01/02/2016

       Last modified: 01/02/2016

13310. Final notice 2016: Coverall Worldwide Ltd [pdf]

       Final notices

       Published: 01/02/2016

       Last modified: 01/02/2016

       This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 10, CASS and COND related to appointed representatives, client money, failing to act on information appropriately, threshold conditions and unfair treatment of customers in the general