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Showing 5901 to 5910 of 7134 search results for final notice.

  1. Notice of sub-threshold AIFM exceeding AUM limit form [doc]

    Forms Published: 11/07/2014 Last modified: 18/01/2019
    This form is only for existing sub-threshold AIFMs who are making a notification about the AUM exceeding the relevant threshold limit.

  2. FCA publishes Decision Notices for Barclays plc and Barclays Bank plc (together “Barclays”)

    Press Releases Published: 21/10/2022 Last modified: 21/10/2022
    Barclays have referred their Decision Notices to the Upper Tribunal. Any findings in the Notices are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers the firms’ behaviour should be characterised.

  3. Notice of Decision 2023: Michael Meehan trading as MC Car Sales [pdf]

    Decision notices Published: 24/07/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  4. Notice of Decision 2024: Autopoint National Vehicle Sales Ltd [pdf]

    Decision notices Published: 26/06/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  5. FCA Authorisations operating service metrics 2022/23 Q4

    Data Published: 19/05/2023 Last modified: 15/03/2024
    The FCA reports on its authorisations metrics quarterly, to provide greater transparency of its performance. This data is for January to March 2023.

  6. FCA decision notice 2015: Charles Palmer [pdf]

    Decision notices Published: 11/12/2015 Last modified: 11/12/2015
    This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty

  7. Analysing the impact of EMIR variation margin requirements

    Research insights Published: 30/06/2017 Last modified: 30/06/2017
    This page summarises our research into derivatives trading data to assess the impact on firms.

  8. Review of firms’ handling of complaints about packaged bank accounts

    Multi-firm reviews Published: 07/07/2017 Last modified: 07/07/2017
    Findings from our review of how firms handle complaints about packaged bank accounts.

  9. FCA Second Supervisory Notice 2016: Vantage Investment Group Limited [pdf]

    Supervisory notices Published: 22/07/2016 Last modified: 22/07/2016

  10. PS24/4: Rules relating to Securitisation

    Consultations Policy statements Published: 07/08/2023 Last modified: 30/04/2024
    The FCA sets out our final rules for the UK securitisation markets.
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