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Showing 61 to 70 of 3473 search results

  1. Recognised Investment Exchanges and Recognised Clearing Houses (REC) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Waivers Recognised Investment Exchanges and Recognised Clearing Houses (REC) - Sourcebook or manual to which waivers of rules apply
  2. Prudential Sourcebook for Banks, Building Societies and Investment Firms (BIPRU) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Waivers Prudential Sourcebook for Banks, Building Societies and Investment Firms (BIPRU) - Sourcebook or manual to which waivers of rules apply
  3. Interim Prudential sourcebook for investment businesses (IPRU-INV) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Waivers Interim Prudential sourcebook for investment businesses (IPRU-INV) - Sourcebook or manual to which waivers of rules apply
  4. Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries (MIPRU) [pdf]

    Waivers and CRR notices Published: 30/04/2020 Last modified: 30/04/2020
    Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries (MIPRU) - Sourcebook or manual to which waivers of rules apply
  5. Final Notice 2020: Paul Milsom [pdf]

    Final notices Published: 27/04/2020
    The reason for this action is because he lacks honesty and integrity such that he is not fit and proper to perform any functions in relation to regulated activities carried on by an authorised person, exempt person or exempt professional firm. As a consequence of the prohibition order, Mr Milsom is prohibited from performing any functions in...
  6. Final Notice 2020: Sandstone Solihull Limited [pdf]

    Final notices Published: 22/04/2020
    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.
  7. Final notice 2020: Powerplay-UK Performance Vehicles Limited [pdf]

    Final notices Published: 22/04/2020
    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.
  8. Final notice 2020: SCI Group UK Limited [pdf]

    Final notices Published: 17/04/2020
    This final notice (SCI Group UK Limited) refers to an applicant applying under section 55A of the Financial Services and Markets Act 2000 for Part 4A permission to carry on a regulated activity. The applicant failed to satisfy the Threshold Conditions. We refused the application.
  9. Second Supervisory Notice 2020: BBP Bandenia PLC [pdf]

    Supervisory notices Published: 16/04/2020
    Second Supervisory Notice issued to BBP Bandenia PLC.
  10. Final Notice 2020: Gary John Gregson [pdf]

    Final notices Published: 15/04/2020
    This Final Notice refers to breaches of FIT related to the Threshold Conditions in the Consumer Credit. We imposed a prohibition.