Publications
Search results
Showing 6351 to 6360 of 18809 search results.
-
Financial promotions quarterly data 2021 Q4
The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for 2021 Q4. -
Open Enforcement Investigations numbers and types of cases - February 2022
The FCA provides data on open enforcement investigations. -
Dual regulation of claims management firms - February 2022
The FCA answers multiple questions regarding dual regulation of Claims Management Activities by both the Solicitors Regulation Authority (SRA) and the Financial Conduct Authority (FCA). -
Beyond disclosure for high-risk investments: slow down and think
This article explores our research into risk warnings, decision points and self-certification, published in January 2021. -
Warning Notice Statement 22/1 [pdf]
Warning Notice Statement 22/1. -
FCA regulated Crypto companies - February 2022
FCA provides information on crypto firms. -
MDP rejection codes for MIFID RTS22 Transaction Report rejections for 2021 - February 2022
The FCA provides a breakdown of all MDP rejection codes for MIFID RTS22 Transaction Report rejections for 2021. -
Final Notice 2022: Kreis Financial Ltd [pdf]
This final notice (Kreis Financial Ltd) refers to a failure to satisfy the Fit and Proper Test (FIT). We refused the individual’s application for approval. -
Letter to Kevin Hollinrake MP, Chair, APPG on Fair Business Banking - 31 January 2022 [pdf]
FCA letter to Kevin Hollinrake MP, Chair, APPG on Fair Business Banking - 31 January 2022. -
First Supervisory Notice 2022: Falcon Financial Solutions Ltd [pdf]
The Authority has decided to vary with immediate effect the Part 4A permission granted to Falcon by removing the following regulated activities: secondary credit broking and agreeing to carry on a regulated activity. The effect of the Variation is