Publications

Showing 10461 to 10470 of 18821 search results.

10461. Annual Public Meeting 2018 transcript [pdf]

       Meeting minutes

       Published: 08/10/2018

       Transcript of the questions and answers for our 2018 Annual Public Meeting

10462. CP 18/27: Consultation on illiquid assets and open-ended funds and feedback to Discussion Paper 17/1 [pdf]

       Consultation papers

       Published: 08/10/2018

       We are consulting on proposals to reduce the potential for harm to retail investors in funds that hold illiquid assets, particularly under stressed market conditions. These measures will also support our market integrity objective and help address

10463. Form 272 – Hong Kong covered funds as defined in the SFC/FCA Mutual Recognition of funds Memorandum of Understanding [doc]

       Forms

       Published: 08/10/2018

       Last modified: 26/02/2025

       Application for an order declaring an overseas collective investment scheme to be recognised in the UK.

10464. Annual Public Meeting 2018: pre-submitted questions [pdf]

       Meeting minutes

       Published: 08/10/2018

10465. FCA Circular: Mutual Recognition of Funds (MRF) between the UK and Hong Kong [pdf]

       Memorandums of understanding

       Published: 08/10/2018

       The FCA and the Securities and Futures Commission (SFC) signed a Memorandum of Understanding concerning Mutual Recognition of Covered Funds and Covered Management Companies and related cooperation (Memorandum) on 8 October 2018.

10466. PS18/20: Improving the quality of pension transfer advice – feedback on CP18/7 and final rules and guidance [pdf]

       Policy statements

       Published: 04/10/2018

       In this policy statement (PS) we summarise and respond to feedback to Consultation Paper CP18/7: Improving the quality of pension transfer advice. We also publish final rules and guidance.

10467. Final Notice 2018: John McCullagh [pdf]

       Final notices

       Published: 03/10/2018

       This final notice refers to breaches of FIT related to a lack of fitness/propriety in the consumer credit sector. We imposed a prohibition.

10468. TR18/3: Money Laundering and Terrorist Financing Risks in the E-Money Sector [pdf]

       Thematic reviews

       Published: 03/10/2018

       Money Laundering and Terrorist Financing Risks in the E-Money Sector.

10469. Final Notice 2018: Jack Parker Cycleworld Limited [pdf]

       Final notices

       Published: 03/10/2018

       This final notice 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.

10470. TR18/3: Money Laundering and Terrorist Financing Risks in the E-Money Sector

       Thematic reviews

       Published: 03/10/2018

       Last modified: 29/08/2025

       Thematic review into money laundering and terrorist financing risks in the e-money sector.