Publications

Showing 10131 to 10140 of 18820 search results.

10131. Notification of senior person amendments or removal form [docx]

       Forms

       Published: 05/02/2019

       This form is for use by firms that are full-scope internally managed UK AIFMs, EuSEF managers or EuVECA managers.

10132. Transcript Insight podcast: Regtech and data ethics [docx]

       Published: 05/02/2019

       Transcript for Insight Regtech podcast hosted by Nick Cook.

10133. PS19/4: Asset Management Market Study - further remedies [pdf]

       Policy statements

       Published: 04/02/2019

10134. PS19/4: Asset Management Market Study - feedback to CP18/9 and final rules and guidance

       Policy statements

       Published: 04/02/2019

       Last modified: 11/09/2023

       The FCA is consulting on rules and guidance to improve the quality, comparability and robustness of information available to investors. The consultation closes on 5 July 2018.

10135. PS19/3: General standards and communication rules for the payment services and e-money sectors [pdf]

       Policy statements

       Published: 01/02/2019

10136. FCA Financial Instruments Reference Data System (FCA FIRDS) [pdf]

       Systems information

       Published: 01/02/2019

       Last modified: 15/12/2020

       Instructions on access and download of full and delta reference files

10137. Number of skilled persons reports commissioned in Q3 2018/19 [pdf]

       Data

       Published: 01/02/2019

10138. Final Notice 2019: Jeffrey Hawkins [pdf]

       Final notices

       Published: 31/01/2019

       This final notice (Jeffrey Hawkins) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

10139. Final Notice 2019: Malcolm Buchanan [pdf]

       Final notices

       Published: 31/01/2019

       This final notice (Malcolm Buchanan) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

10140. Final Notice 2019: James Smith [pdf]

       Final notices

       Published: 31/01/2019

       This final notice (James Smith) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.