Publications

Showing 13531 to 13540 of 18851 search results.

13531. CP15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU) [pdf]

       Consultation papers

       Published: 05/11/2015

       Last modified: 05/11/2015

       In this consultation document, we set out our proposals for the necessary changes to the Handbook required to implement the new Market Abuse Regulations (EU MAR). We seek feedback on these proposals and also invite comments on the different options

13532. Minutes: FCA Board 29 September 2015 [pdf]

       Meeting minutes

       Published: 05/11/2015

       Last modified: 05/11/2015

13533. Minutes: FCA Board 23 and 24 September 2015 [pdf]

       Meeting minutes

       Published: 05/11/2015

       Last modified: 05/11/2015

13534. fca-validation-rules-list-active-from-28-november-2015.xlsx [xlsx]

       Systems information

       Published: 05/11/2015

       Last modified: 18/11/2015

13535. CP15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU)

       Consultation papers

       Published: 05/11/2015

       Last modified: 05/11/2015

       CP15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU). Consultation papers First published:. 05/11/2015. Last updated: 05/11/2015. Share page. CP15/35: Policy proposals and

13536. CP15/34: Regulatory fees and levies: policy proposals for 2016/17

       Consultation papers

       Published: 05/11/2015

       Last modified: 05/11/2015

       CP15/34: Regulatory fees and levies: policy proposals for 2016/17. Consultation papers First published:. 05/11/2015. Last updated: 05/11/2015. Share page. CP15/34: Regulatory fees and levies: policy proposals for 2016/17. This Consultation Paper

13537. Final Notice 2015: Kudu Emerging Markets Limited [pdf]

       Final notices

       Published: 04/11/2015

       Last modified: 04/11/2015

       This Final Notice refers to breaches of PRIN 11 related to failing to be open and co-operative and threshold conditions in the Investment Adviser sector. We imposed a cancellation.

13538. Final Notice 2015: Auto Leasing UK Limited [pdf]

       Final notices

       Published: 04/11/2015

       Last modified: 04/11/2015

       This Final Notice refers to breaches of COND and CONC related to Threshold Conditions in the Consumer Credit sector. We imposed a refusal.

13539. FCA Q2 15/16 Number of skilled person reports commissioned [pdf]

       Data

       Published: 04/11/2015

       Last modified: 15/07/2016

       Under the Financial Services and Markets Act, as amended by the 2012 Act, the FCA has the power to obtain a view from a third party (a ‘skilled person’) about aspects of a regulated firm's activities if it is concerned or wants further analysis.

13540. Minutes of the meeting of the MiFID II implementation roundtable [pdf]

       Meeting minutes

       Published: 04/11/2015

       Last modified: 04/11/2015

       From the meeting held on 22 October 2015.