Publications

Showing 8111 to 8120 of 18816 search results.

8111. Final Notice 2020: John Butterfield [pdf]

      Final notices

      Published: 12/10/2020

      Last modified: 12/10/2020

      This Final Notice (John Leonard Butterfield) refers to breaches of FIT 2.1 related to lack of fitness and propriety in the Investment Adviser sector. We imposed a prohibition.

8112. Data Attestations user guide [pdf]

      Systems information

      Published: 12/10/2020

      Last modified: 12/10/2020

      This user guide helps firms to complete annual data attestations to confirm that the data maintained in the FS Register for their firm is complete and correct. This Attestation needs to be completed every 12 months.

8113. User guide: Adding or amending individual directory persons data [pdf]

      Systems information

      Published: 12/10/2020

      Last modified: 12/10/2020

      This user guide helps firms to either submit new directory persons data or amend existing directory persons data individually.

8114. Open enforcement investigations information - October 2020

      FOI releases

      Published: 12/10/2020

      Last modified: 25/10/2022

      FCA provides information on the number of open enforcement investigations.

8115. Occasional Paper 57: Mortgage Market Disruptions [pdf]

      FCA research

      Published: 09/10/2020

      Last modified: 09/10/2020

      Analysing all regulated mortgage contracts in the UK, we document the major trends associated with the 2020 pandemic and compare them with the 2007-09 financial crisis.

8116. FCA Board Minutes: 28 August 2020 [pdf]

      Meeting minutes

      Published: 09/10/2020

      Last modified: 09/10/2020

      FCA Board Minutes: 28 August 2020

8117. Occasional Paper No. 57: Mortgage market disruptions

      Occasional papers FCA research

      Published: 09/10/2020

      Last modified: 03/06/2026

      We use mortgage contracts data to look at mortgage trends linked to the coronavirus (Covid-19) crisis and compare them to the 2007-09 financial crisis.

8118. Defined benefit transfer advice misconduct investigation information - October 2020

      FOI releases

      Published: 08/10/2020

      Last modified: 25/10/2022

      FCA provides information on defined benefit transfer advice misconduct investigation information.

8119. PS20/10: Prohibiting the sale to retail clients of investment products that reference cryptoassets [pdf]

      Policy statements

      Published: 06/10/2020

      Last modified: 06/10/2020

      PS20/10: Prohibiting the sale to retail clients of investment products that reference cryptoassets. File updated with accessibility tags

8120. PS20/10 technical annex: Prohibiting the sale to retail clients of investment products that reference cryptoassets [pdf]

      Policy statements

      Published: 06/10/2020

      Last modified: 06/10/2020

      PS20/10 technical annex: Prohibiting the sale to retail clients of investment products that reference cryptoassets