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Information on number of enforcement investigations against individuals convicted of non-financial criminal offences - November 2020
FCA provides information on enforcement investigations against individuals convicted of non-financial criminal offences. -
Information on number of prosecutions since January 2010 in relation to money laundering offences - November 2020
FCA provides information on number of prosecutions pursued and convictions obtained since January 2010 in relation to money laundering offences. -
Welcome to RegData: video transcript [pdf]
Transcript of video explaining how our new platform differs from Gabriel -
UK SFTR validation rules [xlsx]
Trade Repositories should use the UK SFTR Validation Rules when reporting securities financing transactions under UK SFTR. -
Moving to RegData from Gabriel: video transcript [pdf]
Transcript of video explaining how we're migrating your data from Gabriel to RegData -
Information sharing protocol between the FCA and HMT [pdf]
Information sharing protocol between the FCA and HMT -
Reporting of derivatives under UK EMIR after the transition period [pdf]
We explain what TRs, and UK counterparties that use them, should do to comply with their UK EMIR reporting obligations following the end of the transition period. -
Reporting of securities financing transactions under UK SFTR after the transition period [pdf]
We explain what TRs, and UK counterparties that use them, should do to make sure they comply with UK Securities Financing Transactions Regulation (UK SFTR) reporting obligations from the end of the transition period. -
Information on number of notices received ceasing to perform senior management or controlled functions due to redundancy, dismissal or suspension - November 2020
FCA provides information on number of notices received ceasing to perform senior management or controlled functions due to redundancy, dismissal or suspension. -
Final Notice 2020: TFS-ICAP Limited [pdf]
This Final Notice refers to breaches of PRIN 2, PRIN 3 and PRIN 5 related to wholesale conduct in the wholesale broker sector. We imposed a financial penalty.