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Showing 41 to 50 of 3513 search results

  1. Final Notice 2020: Carl Anthony Monks [pdf]

    Final notices Published: 15/05/2020
    This final notice 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.

  2. List of firms that have the modification by consent of SUP 10C.3.13 and SYSC 24.2.1 [xlsx]

    Waivers and CRR notices Published: 15/05/2020 Last modified: 05/06/2020
    Firms that have applied for this Modification by Consent. Firms can use this if they think they may need to make or extend temporary arrangements to cover absences, as a result of the coronavirus (Covid-19) crisis

  3. Final Notice 2020: Kirt Blackburn [pdf]

    Final notices Published: 05/05/2020
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  4. Principles for Businesses (PRIN) [pdf]

    Waivers and CRR notices Published: 03/05/2020 Last modified: 16/01/2020
    Waivers Principles for Businesses (PRIN) - Sourcebook or manual to which waivers of rules apply

  5. New Collective Investment Schemes (Waivers) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020

  6. Prudential sourcebook for Investment Firms (Waivers) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020

  7. Supervision (SUP) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Waivers Supervision (SUP) - Sourcebook or manual to which waivers of rules apply

  8. Market conduct (MAR) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Waivers Market conduct (MAR) - Sourcebook or manual to which waivers of rules apply

  9. General Provisions (GEN) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Waivers General Provisions (GEN) - Sourcebook or manual to which waivers of rules apply

  10. Client Assets (CASS) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Waivers Client Assets (CASS) - Sourcebook or manual to which waivers of rules apply