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FOI response search results

Showing 851 to 860 of 1904 search results.

  1. Prohibition orders information - October 2020

    FOI Release Date of Release: 20/10/2020
    FCA provides information on the number of prohibition orders for Q3, Q4 2019, and Q1, Q2, Q3 2020.

  2. Investigations into misconduct information - October 2020

    FOI Release Date of Release: 20/10/2020
    FCA provides information on investigations into misconduct (or similar).

  3. CASS firms, client money and custody assets information - October 2020

    FOI Release Date of Release: 20/10/2020
    FCA provides CASS firms, client money and custody assets information.

  4. Data breaches to FCA or with ICO - October 2020

    FOI Release Date of Release: 19/10/2020
    FCA provides information on the number of reportable data breaches made to FCA individually or with ICO for July-September 2020.

  5. UCITS unquoted securities 10% limit breaches information - October 2020

    FOI Release Date of Release: 19/10/2020
    FCA provides information on number of breaches of the 10% limit on holding of unquoted securities under UCITS for 2020.

  6. Registered firms offering safe custody services information - October 2020

    FOI Release Date of Release: 19/10/2020
    FCA provides information on businesses registered to offer safe custody services.

  7. Investigations into 'dividend stripping tax avoidance schemes' and cum-ex trades information - October 2020

    FOI Release Date of Release: 19/10/2020
    FCA provides information on investigations are there into 'dividend stripping tax avoidance schemes that have operated in Denmark, Germany, France and Italy' and cum-ex trades.

  8. Competition enforcement powers information - October 2020

    FOI Release Date of Release: 16/10/2020
    FCA provides information relating to competition enforcement powers.

  9. Financial advise firms and misleading financial promotions information - October 2020

    FOI Release Date of Release: 16/10/2020
    FCA provides information on number of financial advice firms contacted by FCA regarding misleading financial promotions online January 2019 - August 2020.

  10. CP20/11 engagement information

    FOI Release Date of Release: 14/10/2020
    FCA provides information on engagement with complaints scheme users and consumer organisations on CP20/11.