Publications

Showing 11141 to 11150 of 18820 search results.

11141. List of unauthorised binary options firms [csv]

       Data

       Published: 23/02/2018

       A list of firms without authorisation that the FCA understands are offering binary options trading to UK consumers.

11142. PS18/3: Perimeter guidance on personal recommendations on retail investments

       Policy statements

       Published: 23/02/2018

       Last modified: 23/02/2018

       This Policy Statement sets out our response to feedback on new perimeter guidance on what constitutes a personal recommendation, which we published in consultation CP17/28: FAMR Implementation Part II and insistent clients (PDF).

11143. Final notice 2018: EMEA Exchange Limited [pdf]

       Final notices

       Published: 22/02/2018

       This final notice refers to a failure to meet the conditions of registration set out in the Payment Services Regulations 2009. We imposed a refusal.

11144. Research note: Regulation, Precision and Benchmarks [pdf]

       FCA research

       Published: 21/02/2018

11145. Final Notice 2018: RSI Bank Plc [pdf]

       Final notices

       Published: 20/02/2018

       This final notice refers to breaches of COND related to Threshold conditions in the consumer credit sector. We imposed a refusal.

11146. Call for Input: Using technology to achieve smarter regulatory reporting [pdf]

       Calls for input

       Published: 20/02/2018

       In this call for input we invite views on a ‘proof of concept’ which could potentially make it easier for firms to meet their regulatory reporting requirements and improve the quality of information they provide.

11147. Call for Input: Using technology to achieve smarter regulatory reporting

       Feedback statements

       Published: 20/02/2018

       Last modified: 08/05/2019

       We are publishing our response to the Call for Input on Digital Regulatory Reporting. In this Call for Input we invited views on a ‘proof of concept’ which could potentially make it easier for firms to meet their regulatory reporting

11148. Dear CEO letter: Quality of Prudential Regulatory Returns [pdf]

       Dear CEO letters

       Published: 19/02/2018

       FCA requests that CEOs of IFPRU investment firms and BIPRU firms review their firm’s regulatory reporting practices.

11149. Final Notice 2018: Basic Elegance (Furnishings) Ltd (in Liquidation) [pdf]

       Final notices

       Published: 19/02/2018

       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.

11150. Co-operation Agreement between Financial Conduct Authority (FCA) and Commodity Futures Trading Commission (CFTC). [pdf]

       Memorandums of understanding

       Published: 19/02/2018

       Co-operation Agreement between Financial Conduct Authority (FCA) and Commodity Futures Trading Commission (CFTC).