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Showing 1661 to 1670 of 2126 search results for occasional papers.

  1. Using the new Form A

    Firm authorisation Published: 03/10/2023 Last modified: 29/04/2024
    Find out about the changes we’ve made to Form A.

  2. FCA consults on reforms to improve the effectiveness of UK primary markets

    Press Releases Published: 05/07/2021 Last modified: 05/07/2021
    The FCA has today launched a consultation on a series of proposed reforms to improve the effectiveness of UK primary markets, alongside a discussion of how we might continue to develop the regime to ensure the UK remains a competitive and dynamic

  3. Research Note: Capital market liquidity in the 2020 coronavirus crisis [pdf]

    Research notes Published: 11/05/2021
    This paper examines how UK equity markets (exchange traded cash, ETF and derivative) and bond ETFs managed during the coronavirus pandemic.

  4. CP21/7 A new UK prudential regime for MiFID investment firms

    Consultation papers Published: 19/04/2021 Last modified: 01/06/2021
    We are consulting on our second phase of proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR). IFPR is a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID).

  5. Dharam Prakash Gopee guilty of acting as an illegal money lender

    Press Releases Published: 08/02/2018 Last modified: 12/01/2023
    The trial of Dharam Prakash Gopee concluded today at Southwark Crown Court with the jury returning a guilty verdict to the charges brought by the FCA.

  6. Consumers struggling with rising prices urged to seek help

    Press Releases Published: 06/07/2022 Last modified: 06/07/2022
    The Financial Conduct Authority (FCA) and MoneyHelper are urging consumers to get help as soon as possible if they are struggling financially because of the rising cost of living.

  7. FSA - PS13/6 The regulation and supervision of benchmarks

    Policy statements Published: 25/03/2013 Last modified: 30/08/2015
    We are outlining how we will regulate benchmark submission and administration, with LIBOR as the first benchmark to be brought in to the new regime.

  8. UBS fined £9.45m for failings in its sale of an AIG fund

    Press Releases Published: 12/02/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund.

  9. CP18/5: EU Benchmarks Regulation Implementation (DEPP and EG)

    Consultation papers Published: 05/02/2018 Last modified: 23/03/2018
    We are consulting on changes to our Handbook because of the changes introduced by the EU Benchmarks Regulation and the UK Benchmarks Regulations 2018.

  10. FCA clarifies fairer treatment of regular premium PPI complaints

    Press Releases Published: 04/07/2018 Last modified: 04/07/2018
    The Financial Conduct Authority (FCA) has today issued a consultation paper on new guidance about the handling of certain regular premium payment protection insurance (PPI) complaints. The proposed guidance clarifies FCA expectations.
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