Publications

Showing 6821 to 6830 of 18811 search results.

6821. Information on the data request to financial advisers of the Rolls-Royce DB Scheme - August 2021

      FOI releases

      Published: 09/08/2021

      Last modified: 25/10/2022

      The FCA provides information relating to the FCA's data request to financial advisers of the Rolls-Royce DB scheme.

6822. CP21/26: A new UK prudential regime for MiFID investment firms [pdf]

      Consultation papers

      Published: 06/08/2021

      We are seeking views on the third tranche of our proposed rules to introduce the Investment Firms Prudential Regime a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive.

6823. MIFIDPRU 2 Annex 8R [pdf]

      Forms

      Published: 06/08/2021

      Notification under MIFIDPRU 2.4.20R of membership of an investment firm group and/or a financial conglomerate.

6824. MIFIDPRU 1 Annex 5R [pdf]

      Forms

      Published: 06/08/2021

      Application for a permission under MIFIDPRU for which there is no dedicated application form.

6825. MoU Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision and Oversight of Certain Cross-Border Over-the-Counter Derivatives Entities [pdf]

      Memorandums of understanding

      Published: 06/08/2021

      Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision and Oversight of Certain Cross-Border Over-the-Counter Derivatives Entities In Connection with the Use of Substituted

6826. IP1 - Template on proportion of voting-rights [pdf]

      Forms

      Published: 06/08/2021

      IP1 - Template on proportion of voting-rights

6827. Template OF1 - CompositTemplate OF1 - Composition of regulatory own fundsion of regulatory own funds [pdf]

      Forms

      Published: 06/08/2021

      Template OF1 - Composition of regulatory own funds

6828. Information on insurance intermediaries' authorisations - August 2021

      FOI releases

      Published: 06/08/2021

      Last modified: 25/10/2022

      The FCA provides information on the number of insurance intermediaries that were authorised between certain dates.

6829. Final Notice 2021: Express Vehicles Limited [pdf]

      Final notices

      Published: 05/08/2021

      Final notice to Express Vehicles Limited for failing to be open and co-operative and a lack of appropriate non-financial resources.

6830. First Supervisory Notice 2021: BDSwiss Holding Plc [pdf]

      Supervisory notices

      Published: 05/08/2021

      The FCA has acted to stop Cypriot-based firm, BDSwiss Holding Plc, and other members of the BDSwiss Group from offering high risk contracts for differences (CFDs) to UK investors