Publications

Showing 5201 to 5210 of 18809 search results.

5201. Final Notice 2023: ED&F Man Capital Markets Limited [pdf]

      Final notices

      Published: 05/06/2023

      This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the trading firm sector. Our view is that a financial penalty should be imposed.

5202. First Supervisory Notice 2023: Harvest Associates Ltd [pdf]

      Supervisory notices

      Published: 05/06/2023

      For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on Harvest Associates Ltd with immediate effect.

5203. First Supervisory Notice 2023: Alpha Financial Services [pdf]

      Supervisory notices

      Published: 05/06/2023

      For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on Alpha Financial Services with immediate effect.

5204. First Supervisory Notice 2023: QED Financial Associates Ltd [pdf]

      Supervisory notices

      Published: 05/06/2023

      For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on QED Financial Associates Ltd with immediate effect.

5205. PS23/5: Debt Packagers: Feedback to CP23/5 and final rules [pdf]

      Policy statements

      Published: 02/06/2023

      Policy Statement including feedback from CP23/5 and final rules on debt packagers.

5206. CP23/14: Quarterly Consultation Paper No. 40 [pdf]

      Consultation papers

      Published: 02/06/2023

      Once a quarter, we consult on proposed miscellaneous amendments to our Handbook.

5207. CP23/14: Quarterly Consultation Paper No. 40

      Consultation papers

      Published: 02/06/2023

      Last modified: 02/06/2023

      Once a quarter, we consult on proposed miscellaneous amendments to our Handbook.

5208. PS23/5: Debt Packagers: Feedback to CP23/5 and final rules

      Policy statements

      Published: 02/06/2023

      Last modified: 02/06/2023

      We set out our new rules banning debt packagers from receiving referral fees and summarise feedback to CP23/5 and our response.

5209. Information on whistleblowing disclosures - June 2023

      FOI releases

      Published: 01/06/2023

      Last modified: 01/01/2025

      FCA provides information on whistleblowing disclosures May 2023.

5210. FS23/2: Decisions on US dollar LIBOR: Feedback to CP22/21 [pdf]

      Feedback statements

      Published: 31/05/2023

      FS23/2: Decisions on US dollar LIBOR: Feedback to CP22/21.