Publications

Filter results
Expand / Collapse
Filter by document type
Filter by year
Sort by:

Search results

About 3280 results.

  1. Prudential Sourcebook for Banks, Building Societies and Investment Firms (BIPRU) [pdf]

    Waivers and CRR notices Published: 07/02/2019 Last modified: 07/02/2019
    Waivers Prudential Sourcebook for Banks, Building Societies and Investment Firms (BIPRU) - Sourcebook or manual to which waivers of rules apply
  2. Interim Prudential sourcebook for investment businesses (IPRU-INV) [pdf]

    Waivers and CRR notices Published: 07/02/2019 Last modified: 10/01/2019
    Waivers Interim Prudential sourcebook for investment businesses (IPRU-INV) - Sourcebook or manual to which waivers of rules apply
  3. Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries (MIPRU) [pdf]

    Waivers and CRR notices Published: 07/02/2019 Last modified: 10/01/2019
    Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries (MIPRU) - Sourcebook or manual to which waivers of rules apply
  4. Final Notice 2019: Paul Stephany [pdf]

    Final notices Published: 05/02/2019
    This Final Notice (Paul Stephany) refers to breaches by an individual of Statement of Principle 2 and 3 relating to failing to observe proper standards of market conduct and failing to act with due skill, care and diligence in the asset management sector. The FCA imposed a fine.
  5. Final Notice 2019: Jeffrey Hawkins [pdf]

    Final notices Published: 31/01/2019
    This final notice (Jeffrey Hawkins) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
  6. Final Notice 2019: Malcolm Buchanan [pdf]

    Final notices Published: 31/01/2019
    This final notice (Malcolm Buchanan) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
  7. Final Notice 2019: James Smith [pdf]

    Final notices Published: 31/01/2019
    This final notice (James Smith) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
  8. Final Notice 2019: Ronald Tuckey [pdf]

    Final notices Published: 31/01/2019
    This final notice (Ronald Tuckey) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
  9. Final Notice 2019: LB Fitness Services Ltd [pdf]

    Final notices Published: 31/01/2019
    This final notice (LB Fitness Services Ltd) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.
  10. Final Notice 2019: Green Pulse Energy Limited [pdf]

    Final notices Published: 31/01/2019
    This final notice (Green Pulse Energy Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.