Publications
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Showing 241 to 250 of 470 search results for interventions.
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First Supervisory Notice 2021: ICC Intercertus Capital Limited [pdf]
This FSN (ICC Intercertus Capital Limited) concerns the FCA’s use if its power of intervention in respect of a firm operating post-Brexit under the Temporary Permissions Regime. -
First Supervisory Notice 2021: Marshall Sterling Investment Management Limited [pdf]
First Supervisory Notice 2021: Marshall Sterling Investment Management Limited. -
CP21/13: A new Consumer Duty
We consult on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards customers -
First Supervisory Notice 2021: FXBFI Broker Financial Invest Ltd [pdf]
This First Supervisory Notice concerns the FCA’s use if its power of intervention in respect of a firm operating post-Brexit under the Temporary Permissions Regime. -
DP21/1: Strengthening our financial promotion rules for high-risk investments and firms approving financial promotions
Read our proposals on changes we can make to strengthen our financial promotion rules for high-risk investments -
First Supervisory Notice 2021: Finteractive Limited [pdf]
This First Supervisory Notice concerns the FCA’s use if its power of intervention in respect of a firm operating post-Brexit under the Temporary Permissions Regime -
Primary Market Bulletin 33
This edition of the FCA’s Primary Market Bulletin covers Brexit, major shareholding notifications, short selling and MAR Article 17. -
First Supervisory Notice 2021: Raedex Consortium Ltd [pdf]
First Supervisory Notice for Raedex Consortium Ltd. -
Implementing Technology Change
This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce -
Occasional Paper No. 59: Sitting on a gold mine: Getting what’s owed to pawnbroking customers
In 2018, the FCA found that pawnbroking customers are not always collecting the ‘surplus’ money owed to them. In this paper, we share the results of a first intervention designed to address this.