Publications
Search results
Showing 9571 to 9580 of 18820 search results.
-
CP19/24: Recovering the costs of the Office for Professional Body Anti-Money-laundering Supervision (OPBAS): feedback on CP19/13 and consultation on fee-rate for 2019/20 [pdf]
-
PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4 [pdf]
-
PS19/20: Optimising the Senior Managers & Certification Regime and feedback to CP19/4
The Senior Managers & Certification Regime (SM&CR) was introduced for banking firms in 2016 and insurers in December 2018. It will apply to solo-regulated firms from December 2019. -
Form A: Prospectus Directive [docx]
-
Publication form: Prospectus Directive [doc]
-
Final Notice 2019: Prindiville Plc [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2019: Jin-Yi Lee [pdf]
This final notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty. -
Final Notice 2019: Eric Ka Chi Siu [pdf]
This final notice (Eric Ka Chi Siu) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty. -
Final Notice 2019: Vale Veterinary Group [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in -
Final Notice 2019: Cathay International Holdings Limited [pdf]
This final notice (Cathay International Holdings Limited) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. We imposed a financial penalty.