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FOI5160 Information Provided [pdf]
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FOI5160 Information Provided 2 [pdf]
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Notice of intention to cancel arrangements to facilitate the access to an MTF or an OTF from another EEA State in accordance with the Markets in Financial Instruments Directive (MiFID) [pdf]
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Notice of intention to provide arrangements to facilitate the access to an MTF or an OTF from another EEA State under the Markets in Financial Instruments Directive (MiFID) [pdf]
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Impact assessment: UKLA Technical Note: UKLA/TN/308.3 – Related party transactions – Modified requirements for smaller related party transactions [pdf]
This impact assessment relates to UKLA Technical Note: UKLA/TN/308.3 – Related party transactions – Modified requirements for smaller related party transactions. It has been verified by the Regulatory Policy Committee. -
CP17/32: Quarterly Consultation Paper No 18
CP17/32: Quarterly Consultation Paper No 18. Consultation papers First published:. 01/09/2017. Last updated: 02/11/2017. We are proposing to make changes to:. FEES 3 (variations of permission) to provide payment initiation and account services. DEPP -
Guidance Consultation - UKLA Technical Note 709.3 - Sponsors’ obligations on financial position and prospects procedures [pdf]
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Guidance Consultation - UKLA Technical Note 718.1 - Sponsors’ duty regarding directors of listed companies [pdf]
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Guidance Consultation - UKLA Technical Note 720.1 - Sponsors’ obligations on no adverse impact [pdf]
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Guidance Consultation - UKLA Technical Note 635.1 - FRS 102 Cash Flow Statement Exemptions [pdf]