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Showing 4331 to 4340 of 4723 search results for final notice refers.

4331. RMA-D Regulatory capital and financial resources: FAQs

      Registers and systems Published: 13/05/2016 Last modified: 13/06/2022
      RMA-D Regulatory capital and financial resources: FAQs

4332. IRHP: agreements with the banks and instructions to the independent reviewers

      Consumers Published: 26/04/2016 Last modified: 14/12/2021
      Consumers IRHP: agreements with the banks and instructions to the independent reviewers.

4333. First Supervisory Notice 2019: Coutts Automobiles Limited [pdf]

      Supervisory notices Published: 25/01/2019
      This first supervisory notice refers to a failure to satisfy the suitability threshold condition (COND) and breaches of PRIN. We varied the firm’s permission.

4334. FCA bans Jon Frensham from working in financial services

      Press Releases Published: 17/09/2021 Last modified: 17/09/2021
      The FCA has banned director Jon Frensham (formerly known as Jonathan James Hunt) from performing any regulated activity

4335. PS21/16: Issuing statutory notices – a new approach to decision makers 

      Policy statements Published: 26/11/2021 Last modified: 26/11/2021
      We are reforming our decision-making process so we can make faster and more effective decisions. This will help us improve how we tackle firms and individuals who do not meet the required regulatory standards.

4336. CP16/8: Quarterly Consultation Paper No. 12

      Consultation papers Published: 18/03/2016 Last modified: 19/07/2017
      Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals.

4337. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

      Press Releases Published: 25/01/2018 Last modified: 25/01/2018
      The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in

4338. Dual-regulated firms Remuneration Code (SYSC 19D)

      Tasks for firms Published: 21/06/2015 Last modified: 05/12/2023
      How SYSC 19D applies to dual-regulated firms, comprising banks, building societies and PRA-designated investment firms.

4339. CP20/4: Quarterly Consultation Paper No 27

      Consultation papers Published: 06/03/2020 Last modified: 03/07/2020
      Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals.

4340. FCA finalise plans to place a deadline on PPI complaints

      Press Releases Published: 02/03/2017 Last modified: 18/08/2017
      The Financial Conduct Authority has today confirmed that it will introduce a deadline for making new payment protection insurance (PPI) complaints.