Publications

Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1 to 10 of 9294 search results

  1. Short positions disclosed to us [xls]

    Data Published: 23/08/2019 Last modified: 23/08/2019
    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.
  2. Final Notice 2019: KWH (Heating & Renewables) Ltd [pdf]

    Final notices Published: 23/08/2019 Last modified: 22/08/2019
    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.
  3. Final Notice 2019: Daniel Lowther [pdf]

    Final notices Published: 22/08/2019
    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.
  4. Final Notice 2019: Glossy R Ltd [pdf]

    Final notices Published: 22/08/2019
    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.
  5. Final Notice 2019: B G Car Sales Limited [pdf]

    Final notices Published: 22/08/2019
    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.
  6. AIFMD small register [pdf]

    Systems information Published: 21/08/2019
  7. Transcript for video: defined benefit pension transfer process explained [pdf]

    Transcripts Published: 21/08/2019
    This transcript is for the FCA Explains video: Our expectation of financial advisers when advising you on pension transfers. The video will be helpful for those who have transferred out of their defined benefit pension and are unclear whether they received good quality advice – including former members of the British Steel Pension Scheme.
  8. Dear CEO letter: Strong Customer Authentication [pdf]

    Correspondence Published: 20/08/2019
    Requirements for Strong Customer Authentication in card-not-present e-commerce transactions
  9. Final Notice 2019: Andrew James Tinney [pdf]

    Final notices Published: 16/08/2019
    This final notice (Andrew James Tinney) refers to breaches of APER 1 related to failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a public censure.
  10. Final Notice 2019: ODA Life Textile and Furniture Limited [pdf]

    Final notices Published: 16/08/2019
    This final notice (ODA Life Textile and Furniture Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.