Publications

Showing 6461 to 6470 of 18811 search results.

6461. Annex 4 Benchmarks Regulation – Additional notice of proposed modifications [pdf]

      LIBOR notices

      Published: 01/01/2022

      Annex 4 Benchmarks Regulation – Additional notice of proposed modifications

6462. Information on carried interest categorised as remuneration - December 2021

      FOI releases

      Published: 30/12/2021

      Last modified: 25/10/2022

      The FCA responds to multiple questions regarding if carried interest is categorised as remuneration.

6463. Request for information regarding FCA complaints - December 2021

      FOI releases

      Published: 30/12/2021

      Last modified: 25/10/2022

      The FCA responds to multiple questions regarding FCA complaints.

6464. Complaints received by the FCA regarding settlements with whistleblowers - December 2021

      FOI releases

      Published: 30/12/2021

      Last modified: 25/10/2022

      The FCA answers multiple questions relating to complaints received by the FCA regarding settlements with whistleblowers for the period between 1 January 2015 and 29 November 2021.

6465. Information on FCA's recent investigation into NatWest - December 2021

      FOI releases

      Published: 24/12/2021

      Last modified: 25/10/2022

      The FCA responds to questions regarding its investigation into NatWest for breaches of the Money Laundering Regulations 2007.

6466. Decision Notice 2021: BlueCrest Capital Management (UK) LLP [pdf]

      Decision notices

      Published: 22/12/2021

      This decision notice (BlueCrest Capital Management (UK) LLP) refers to breaches of Principle 8 related to conflicts of interest in the asset management sector. Our view is that a financial penalty should be imposed. This decision notice has been

6467. Data on whistleblowing disclosures received by the FCA - December 2021

      FOI releases

      Published: 22/12/2021

      Last modified: 25/10/2022

      The FCA responds to request for data regarding whistleblowing reports to the FCA.

6468. Dear CEO letter: British Steel Pension Scheme: Consideration of a consumer redress scheme [pdf]

      Correspondence

      Published: 22/12/2021

      For firms who gave pension transfer advice to British Steel Pension Scheme members between 1 March 2017 to 31 March 2018 (‘the relevant period’).

6469. Final notice 2021: A & A Windows Direct Limited [pdf]

      Final notices

      Published: 21/12/2021

      This Final Notice (A & A Windows Direct Limited) refers to a failure to satisfy the Fit and Proper Test (FIT). We refused the individual’s application for approval.

6470. FCA Board Minutes: 11 November 2021 [pdf]

      Meeting minutes

      Published: 21/12/2021

      Minutes of the FCA Board meeting held on 11 November 2021.