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Showing 61 to 70 of 3465 search results

  1. Final Notice 2020: Hall and Hanley Limited (HHL) [pdf]

    Final notices Published: 21/01/2020
    This Final Notice refers to breaches of the Conduct of Authorised Persons Rules 2014 (“CAPR”) in relation to misleading consumers to claims and unfair treatment of consumers in the claims management sector. We imposed a financial penalty.

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

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020

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

    Waivers and CRR notices Published: 16/01/2020 Last modified: 04/09/2019

  4. Supervision (SUP) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020
    Waivers Supervision (SUP) - Sourcebook or manual to which waivers of rules apply

  5. Compensation (COMP) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020
    Waivers Compensation (COMP) - Sourcebook or manual to which waivers of rules apply

  6. Credit Unions (CRED) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020
    Credit Unions (CRED) - Sourcebook or manual to which waivers of rules apply

  7. Client Assets (CASS) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 04/09/2019
    Waivers Client Assets (CASS) - Sourcebook or manual to which waivers of rules apply

  8. General Prudential (GENPRU) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020
    Waivers General Prudential (GENPRU) - Sourcebook or manual to which waivers of rules apply

  9. Integrated Prudential sourcebook (PRU) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 16/01/2020
    Waivers Integrated Prudential sourcebook (PRU) - Sourcebook or manual to which waivers of rules apply

  10. Collective Investment Schemes (CIS) [pdf]

    Waivers and CRR notices Published: 16/01/2020 Last modified: 04/09/2019
    Waivers Collective Investment Schemes (CIS) - Sourcebook or manual to which waivers of rules apply