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FOI response search results

Showing 1061 to 1070 of 1904 search results.

  1. Information on a questionnaire sent to financial advice firms regarding their acquisition practices - April 2020

    FOI Release Date of Release: 21/04/2020
    The FCA provides information on a questionnaire sent to financial advice firms regarding their acquisition practices.

  2. Information about agreements made under the Serious Organised Crime and Police Act 2005 - April 2020

    FOI Release Date of Release: 21/04/2020
    The FCA provides information about agreements made under sections 71 to 74 of the Serious Organised Crime and Police Act 2005 (SOCPA).

  3. Information on investigations into insider trading and market abuse - April 2020

    FOI Release Date of Release: 14/04/2020
    The FCA provides information on investigations into insider trading/market abuse between 2015 and 2020.

  4. Information on the reports of unauthorised business regarding the permission to manage investments - April 2020

    FOI Release Date of Release: 09/04/2020
    The FCA provides information on the reports of unauthorised business regarding the permission to manage investments.

  5. Information on claims management companies who have registered for full authorisation - April 2020

    FOI Release Date of Release: 08/04/2020
    The FCA provides information on claims management companies who have registered for full authorisation in Application Period One (1 April 2019 to 31 May 2019)

  6. The number of FCA regulated firms - March 2020

    FOI Release Date of Release: 06/04/2020
    The FCA provides a yearly breakdown of the number of FCA regulated firms up until March 2020.

  7. The number of enforcement cases against Senior Managers under SMCR - April 2020

    FOI Release Date of Release: 06/04/2020
    The FCA provides information on the number of enforcement cases against Senior Managers.

  8. Information on Significant Influence Function (SIF) interviews - April 2020

    FOI Release Date of Release: 03/04/2020
    The FCA provides information on the number of Significant Influence Function (SIF) interviews that have been led by the FCA, and the number that have been conducted jointly by the FCA and PRA.

  9. Information relating to Notices of ceasing to perform controlled functions - April 2020

    FOI Release Date of Release: 03/04/2020
    The FCA provides information relating to Notices of ceasing to perform controlled functions.

  10. Information on the number of restricted advisers and independent advisers - April 2020

    FOI Release Date of Release: 03/04/2020
    The FCA provides information on the number of restricted advisers and independent advisers in 2018, 2015 and 2010, including comparative figures.