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  1. Decision Notice: Cathay International Holdings Limited [pdf]

    Decision notices

    Published: 31/05/2019

    This decision notice (Cathay International Holdings Limited) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed.

  2. PS19/12:Changes to align the FCA Handbook with the EU Prospectus Regulation: feedback to CP19/6

    Policy statements

    Published: 31/05/2019

    Last modified: 30/08/2019

    This Policy Statement sets out the near-final rules on the changes we plan to make to the Handbook to align it with the Prospectus Regulation. It also summarises the feedback we received to Consultation Paper CP19/6 and our response.

  3. key-performance-indicators-march-2019.pdf [pdf]

    Corporate documents

    Published: 30/05/2019

  4. Final Notice 2019: R. Raphael & Sons Plc [pdf]

    Final notices

    Published: 30/05/2019

    This final notice refers to breaches of PRIN 2, PRIN 3, SYSC 8 relating to culture/governance in the retail bank sector. We imposed a financial penalty.

  5. FOI6220 Response [pdf]

    Published: 29/05/2019

    Last modified: 29/05/2019

  6. Occasional Paper 48: Swing pricing and fragility in open-end mutual funds [pdf]

    FCA research

    Published: 29/05/2019

  7. Call for Input: Cross-Sector Sandbox [pdf]

    Calls for input

    Published: 29/05/2019

    The FCA has published a Call for Input to expand and deepen the discussions on whether a cross-sectoral sandbox or similar mechanism is needed to ensure a consistent and efficient approach to emerging technologies.

  8. EMIR reporting exemption form [pdf]

    Forms

    Published: 29/05/2019

  9. Final Notice 2019: Terry John Farr [pdf]

    Final notices

    Published: 29/05/2019

    This final notice (Terry John Farr) refers to breaches of FIT related to lack of fitness/propriety and wholesale conduct in the trading firm sector. We imposed a prohibition.

  10. Clearing obligation notification form for FCs and NFCs [pdf]

    Forms

    Published: 29/05/2019

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