Showing 1 to 10 of 11544 search results.

1. User guide: Adding multiple Directory Persons data [pdf]

   Documents Published: 26/02/2021
   This user guide helps firms to submit new Directory Persons data in bulk.

2. Handbook Notice 85 [pdf]

   Handbook Published: 26/02/2021
   This Handbook Notice describes the changes to the Handbook and other material made by the Financial Conduct Authority (FCA) Board under its legislative and other statutory powers on 25 February 2021.

3. PS21/1: Breathing space regulations - changes to our Handbook [pdf]

   Policy statements Published: 26/02/2021
   This policy statement follows consultation paper 20/21 and sets out changes we are making to the Handbook as a result of The Debt Respite Scheme.

4. User guide: Amending multiple Directory Persons data [pdf]

   Documents Published: 26/02/2021
   This user guide helps firms to amend existing Directory Persons information in bulk.

5. Directory Persons – Questions and Answers [pdf]

   Documents Published: 26/02/2021
   Answers to common questions to help your firm submit new Directory Persons data or amend existing Directory Persons information.

6. MiFID II: product governance review

   Multi-firm reviews Published: 26/02/2021 Last modified: 26/02/2021
   In this MiFID II review we looked at product governance in a sample of 8 asset management firms.

7. Final Notice 2021: Premier FX Limited [pdf]

   Final notices Published: 25/02/2021
   This Final Notice refers to breaches of the Payment Services Regulations in the Payment Services sector. We imposed a public censure.

8. UK list of exempted shares [xlsx]

   Documents Published: 25/02/2021
   Certain shares are exempt from the notification and disclosure requirements in the UK SSR if their principal venue for trading is located outside the UK.

9. Short positions disclosed to us [xlsx]

   Data Published: 25/02/2021 Last modified: 25/02/2021
   The Short Selling Regulation (SSR) introduced a private and public notification regime for investors who hold net short positions in certain financial instruments. This document shows the public short positions disclosed to the FCA.

10. Final Notice 2021: Mohammad Ali (trading as M A Motors) [pdf]

    Final notices Published: 24/02/2021
    This final notice Mohammad Ali (trading as M A Motors) 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