Publications

Showing 13371 to 13380 of 18851 search results.

13371. Warning notice statement 16/1 – Individual [pdf]

       Warning notices

       Published: 11/01/2016

       Last modified: 11/01/2016

       The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 7 December 2015 proposing to take action in respect of the conduct summarised in this statement.

13372. Minutes of the MiFID II implementation roundtable January 2016 [pdf]

       Meeting minutes

       Published: 08/01/2016

       Last modified: 08/01/2016

       From the meeting held on 6 January 2016

13373. Final notice 2016: Lynda Jayne Croome [pdf]

       Final notices

       Published: 08/01/2016

       Last modified: 08/01/2016

       This final notice refers to the Authority’s objection to an acquisition under section 186 (a) FSMA based on an assessment made in accordance with section 185 FSMA that the acquirer lacked suitability.

13374. Final notice 2016: Knight Home Improvements Limited [pdf]

       Final notices

       Published: 08/01/2016

       Last modified: 08/01/2016

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

13375. Retirement income market data: July to September 2015 [pdf]

       Data

       Published: 07/01/2016

       Last modified: 13/01/2016

       The pension reforms have brought about significant changes in the way consumers can access their pensions. The FCA have collected data from retirement income providers so it can track and monitor changes in the market.

13376. CP16/1: Consequential changes to the Senior Managers Regime [pdf]

       Consultation papers

       Published: 06/01/2016

       Last modified: 23/02/2016

       This Consultation Paper (CP) sets out how we intend to implement the consequential changes to rules and forms that will be required prior to commencement of the regime. It also examines the impact that we believe they will have upon the industry and

13377. retirement-income-market-data-july-sept-infographic.pdf [pdf]

       Documents

       Published: 06/01/2016

       Last modified: 13/01/2016

13378. CP16/1: Consequential changes to the Senior Managers Regime

       Consultation papers

       Published: 06/01/2016

       Last modified: 02/03/2016

       CP16/1: Consequential changes to the Senior Managers Regime. Consultation papers First published:. 06/01/2016. Last updated: 02/03/2016. Share page. CP16/1: Consequential changes to the Senior Managers Regime. In this paper we set out a number of

13379. Consumer credit: are you newly authorised? [pdf]

       Documents

       Published: 01/01/2016

       Last modified: 06/07/2016

       We have made a series of short videos to help newly authorised consumer credit firms understand their responsibilities and what they need to do.

13380. Modification direction for IFPRU 11.6.3R [pdf]

       Handbook

       Published: 22/12/2015

       Last modified: 03/08/2016