Publications

Showing 5281 to 5290 of 18806 search results.

5281. Whistleblowing quarterly data 2022 Q4

      Data

      Published: 04/05/2023

      Last modified: 04/05/2023

      Our data shows the number of new whistleblowing reports the FCA received in October to December 2022 and the allegations they featured.

5282. Whistleblowing qualitative assessment survey 2022

      Data

      Published: 04/05/2023

      Last modified: 04/05/2023

      This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to

5283. First Supervisory Notice 2023: Monneo Ltd [pdf]

      Supervisory notices

      Published: 04/05/2023

      For the reasons given in this First Supervisory Notice, the FCA has decided to vary the authorisation granted to Monneo by imposing the following requirements on the firm with immediate effect.

5284. Final Notice 2023: Floenergy Ltd [pdf]

      Final notices

      Published: 03/05/2023

      This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.

5285. PS23/4: Improving Equity Secondary Markets [pdf]

      Policy statements

      Published: 03/05/2023

      The proposals aim to enhance execution quality for investors by lowering the cost of trading, reducing market impact and ultimately increasing liquidity.

5286. CP23/10: Primary Markets Effectiveness Review: Feedback to DP22/2 and proposed equity listing rule reforms [pdf]

      Consultation papers

      Published: 03/05/2023

      We’re consulting on proposals to replace standard and premium listing share categories with a single listing category for commercial company issuers of equity shares.

5287. Warning Notice Statement 23/4 [pdf]

      Warning notices

      Published: 03/05/2023

      The notice concerns the conduct of an individual who worked as a financial adviser whilst an approved person at a small financial advice firm.

5288. PS23/4: Improving equity secondary markets

      Policy statements

      Published: 03/05/2023

      Last modified: 03/05/2023

      The FCA sets out the final policy on changes to technical standards and summarise feedback to CP22/12.

5289. CP23/10: Primary Markets Effectiveness Review – Feedback to DP22/2 and proposed equity listing rule reforms

      Consultation papers

      Published: 03/05/2023

      Last modified: 03/05/2023

      We want your views on proposed rule changes to create a single listing category for shares in commercial companies. We also summarise feedback to our May 2022 Discussion Paper on the UK listing regime.

5290. Information on dawn raids over last 4 years- May 2023

      Data

      Published: 03/05/2023

      Last modified: 01/01/2025

      FCA provides information on dawn raids.