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Showing 4431 to 4440 of 7120 search results for final notice.

  1. PS16/5: Strengthening accountability in banking and insurance: Implementation of SM&CR and SIMR, and PRA requirements on regulatory references [pdf]

    Policy statements Published: 15/02/2016 Last modified: 15/02/2016
    This policy statement contains, among other things, the PRA and FCA final rules to implement the proposals for applying the Senior Insurance Managers Regime (SIMR) to Swiss general insurers.

  2. PS16/3: Strengthening accountability in banking: Feedback on CP15/22 and CP15/31; rules on extending the certification regime to wholesale market activities and interim rules on referencing [pdf]

    Policy statements Published: 04/02/2016 Last modified: 04/02/2016
    In this policy statement we set out final rules for the new accountability framework for individuals working in banks, building societies and credit unions who perform certain wholesale market activities.

  3. PS16/13: Implementation of the Market Abuse Regulation, and Handbook amendments [pdf]

    Policy statements Published: 28/04/2016 Last modified: 28/04/2016
    In this Policy Statement we report on the main issues arising from Consultation Paper 15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU) – and Consultation Paper 15/38:

  4. PS15/13: Guaranteed Asset Protection insurance: competition remedy [pdf]

    Policy statements Published: 10/06/2015 Last modified: 10/06/2015
    In this Policy Statement we report on the main issues arising from Consultation Paper 14/29 Guaranteed Asset Protection insurance: a competition remedy and publish the final rules.

  5. Notice of Decision 2024: James Bradshaw [pdf]

    Decision notices Published: 29/04/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  6. Warning Notice Statement 20/1 [pdf]

    Warning notices Published: 19/03/2020
    The Financial Conduct Authority gave an individual a warning notice on 19 March 2020 proposing to take action in respect of the conduct summarised in this statement.

  7. PS14/13 Changes to regulatory reporting: Adviser charging and product sales data (PSD), including feedback to CP14/5 and final rules [pdf]

    Policy statements Published: 29/09/2014 Last modified: 29/09/2014

  8. FSA Supervisory Notice 2011: HSBC Bank plc [pdf]

    Supervisory notices Published: 09/11/2011 Last modified: 14/06/2014
    FSA Supervisory Notice 2011: HSBC Bank plc

  9. PS15/26: Implementation of the Transparency Directive Amending Directive (2013/50/EU) and other Disclosure Rule and Transparency Rule Changes [pdf]

    Policy statements Published: 06/11/2015 Last modified: 06/11/2015
    The main issues arising from Consultation Paper 15/11 Implementation of the Transparency Directive Amending Directive (2013/50/EU) and other Disclosure Rule and Transparency Rule Changes and publish the final rules.

  10. FS15/3: Strengthening accountability in banking: UK branches of foreign banks – Feedback on FCA CP15/10 / PRA CP9/15 [pdf]

    Feedback statements Published: 13/08/2015 Last modified: 14/09/2015
    In this Feedback Statement we report on the main issues arising from Consultation Paper 15/10 (Strengthening accountability in banking: UK branches of foreign banks) and publish the near-final rules.
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