Publications

Showing 7871 to 7880 of 18814 search results.

7871. PS20/15: High-risk investments: Marketing speculative illiquid securities (including speculative mini‑bonds) to retail investors [pdf]

      Policy statements

      Published: 10/12/2020

      The FCA has confirmed proposals to permanently ban the mass-marketing of speculative illiquid securities - including speculative mini-bonds - to retail investors.

7872. Final Notice 2020: LJ Financial Planning Ltd [pdf]

      Final notices

      Published: 10/12/2020

      This Final Notice refers to breaches of PRIN 8 and PRIN 9 related to conflicts of interest and failure to provide suitable advice in the Pensions sector. The FCA imposed a financial penalty.

7873. Final Notice 2020: Claims & Credit Hire Limited [pdf]

      Final notices

      Published: 10/12/2020

      This FInal Notice for Claims & Credit Hire Limited (CCHL) has failed to respond to five separate requests for the provision of information considered by the Authority to be necessary to enable it to determine the Application.

7874. Information on innovation hub collaboration statistics - December 2020

      FOI releases

      Published: 10/12/2020

      Last modified: 25/10/2022

      FCA provides information on the number of firms that the Innovation hub has worked with.

7875. Final Notice 2020: Shruti Patel aka Cindy Brad [pdf]

      Final notices

      Published: 09/12/2020

      Last modified: 09/12/2020

      This Final Notice refers to breaches of FIT by an unapproved mortgage advisor. We imposed a prohibition.

7876. Information provided on appointed representative application process - December 2020

      FOI releases

      Published: 09/12/2020

      Last modified: 25/10/2022

      FCA provides information on appointed representatives application process.

7877. Supplier Code of Conduct [pdf]

      Corporate documents

      Published: 08/12/2020

      Last modified: 01/12/2021

      The Supplier Code of Conduct requires suppliers to support the FCA and the PSR to deliver our Mission and Purpose respectively, in a manner consistent with each organisation’s values.

7878. Final Notice 2020: PPI Tax Rebate Ltd, formerly carrying on business as Tax Back PPI Ltd and Helpful Law Ltd [pdf]

      Final notices

      Published: 08/12/2020

      Last modified: 08/12/2020

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

7879. Commentary on Mortgage lending statistics - December 2020

      Data

      Published: 08/12/2020

      Last modified: 03/08/2026

      Mortgage lenders and administrators submit a Mortgage Lending and Administration Return (MLAR) each quarter to the FCA and Bank of England, providing data on their mortgage lending activities. This commentary covers the MLAR statistics for 2020 Q3.

7880. GC20/5: Guidance for insolvency practitioners on how to approach regulated firms [pdf]

      Guidance consultations

      Published: 07/12/2020

      Last modified: 07/12/2020

      We are consulting on non-handbook guidance for insolvency practitioners (IPs) on how to approach insolvencies of regulated firms.