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Claims Management - Individual - Form (DRAFT) [pdf]
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Application for Authorisation - Claims Management - Form (DRAFT) [pdf]
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Primary Market Bulletin Issue 22 [pdf]
In this edition, we advise issuers and other stakeholders of key -
Final Notice 2019: UBS AG [pdf]
This final notice (UBS AG) refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine. -
The Operation of the MiFID Transparency Regime post-Brexit: technical communication [pdf]
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HMRC communication to London Capital & Finance Plc bondholders [pdf]
HMRC contacted bondholders to inform them that they had decided that the Innovative Finance ISAs offered to investors by LCF did not comply with the requirements of the ISA regulations. -
Modern Slavery and Human Trafficking Statement for the financial year ending 31 March 2018 [pdf]
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TR19/1: Debt management sector thematic review [pdf]
This report shares the findings of our thematic review of the debt management sector, which aimed to test whether firms within the debt management sector are meeting our standards, treating their new and existing customers fairly, and delivering -
Final Notice 2019: Lewis Alexander Limited [pdf]
This final notice refers to a failure to satisfy threshold conditions 2C (effective supervision), 2D (appropriate resources), and 2E (suitability) in the Consumer Credit: Debt Management sector. We imposed a refusal of the applicant’s Part 4A -
TR19/1: Debt management sector thematic review
This report shares the key findings of our thematic review of the debt management sector.We committed in our 2017/18 Business Plan to assess how the market is operating and whether firms are meeting customer needs and our standards.