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Showing 1651 to 1660 of 2126 search results for occasional papers.

  1. FCA proposes reforms to the availability of information in the UK equity IPO process

    Press Releases Published: 01/03/2017 Last modified: 11/04/2024
    The FCA is proposing a package of measures to reform the availability of information during the UK equity initial public offering (IPO) process.

  2. Personal investment firms that give bad advice to hold capital for redress

    Press Releases Published: 29/11/2023 Last modified: 30/11/2023
    Our proposals to require personal investment firms to set aside capital so that they can cover compensation costs.

  3. FCA steps up focus on fair use of client dealing commission

    Press Releases Published: 10/07/2014 Last modified: 10/07/2014
    The FCA’sdiscussion paper on dealing commission, including results of the thematic review. ... Today’s paper outlines some key elements of MiFID II and calls for evidence to inform this work.

  4. CP15/15: Changes to the Approved Persons Regime for insurers not subject to Solvency II

    Consultation papers Published: 27/03/2015 Last modified: 07/02/2022
    We are consulting on amending our regime for regulating key individuals and governance arrangements in insurers.

  5. Investor relations in an increasingly regulated and international world

    Speeches Published: 19/06/2013 Last modified: 18/07/2013
    Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013.

  6. CP18/2: Financial Services Compensation Scheme - Management Expenses Levy Limit 2018/19

    Consultation papers Published: 18/01/2018 Last modified: 21/02/2018
    In a joint consultation with the Prudential Regulation Authority (PRA), we are consulting on the management expenses levy limit (MELL) for the Financial Services Compensation Scheme (FSCS). Management expenses are the operating costs of the FSCS.

  7. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

  8. Primary Market Bulletin Issue No. 29

    Newsletters Published: 09/06/2020 Last modified: 09/06/2020
    In this special edition, we publish a statement on feedback we received from PMB25 and the changes we have made in response. We also include the final note.

  9. Digital Regulatory Reporting: Pilot Phase 1 Report [pdf]

    Discussion papers Published: 13/03/2019

  10. Building a financial regulatory system suitable for the UK in the new era

    Speeches Published: 01/07/2020 Last modified: 01/07/2020
    Speech delivered by Nausicaa Delfas, Executive Director of International, at the City & Financial Professional Virtual Roundtables.
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