Showing 1 to 10 of 9794 search results

1. MiFID Checklist: Retail [docx]

   Forms Published: 09/12/2019 Last modified: 06/12/2019
   Application for authorisation

2. Variation of Permission Application form: Trustees or Depositaries of Alternative Investment Funds [doc]

   Forms Published: 06/12/2019 Last modified: 16/11/2018
   This form is only for firms wanting to change the scope of their permission.

3. CP19/33: Quarterly Consultation No 26 [pdf]

   Consultation papers Published: 06/12/2019
   The Financial Conduct Authority invites comments on this Consultation Paper. Comments should reach us by 6 January 2020 for chapters 3, 7 and 8, and 6 February 2020 for chapters 2, 4, 5 and 6.

4. CP19/33: Quarterly Consultation Paper No 26

   Consultation papers Published: 06/12/2019 Last modified: 06/12/2019
   Once a quarter, we consult on proposed miscellaneous amendments to our Handbook

5. CP19/32: Building operational resilience: impact tolerances for important business services and feedback to DP18/4 [pdf]

   Consultation papers Published: 05/12/2019
   We are proposing changes to how firms approach their operational resilience

6. FCA Board minutes: 23 and 24 October 2019 [pdf]

   Meeting minutes Published: 05/12/2019
   Minutes from the FCA Board meeting on 23 and 24 October 2019.

7. New data collection platform engagement video transcript [pdf]

   Transcripts Published: 05/12/2019
   We met firms to discuss feedback on Gabriel and improvements to new data collection platform

8. New data collection platform engagement social media video transcript [pdf]

   Transcripts Published: 05/12/2019
   We met firms to discuss feedback on Gabriel and improvements to new data collection platform. Transcript for video shared on social media.

9. Short positions disclosed to us [xls]

   Data Published: 04/12/2019 Last modified: 06/12/2019
   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.

10. Video transcript - FCA 2018-19: the year in numbers [pdf]

    Transcripts Published: 04/12/2019
    Video transcript - FCA 2018-19: the year in numbers