Showing 1 to 10 of 282 search results.

1. Consolidated list of waivers, modifications and CRR permissions granted [xlsx]

   Waivers and CRR notices Published: 19/02/2021 Last modified: 19/02/2021
   Consolidated list of waivers, modifications and CRR Permissions

2. Warning Notice Statement 20/2 [pdf]

   Warning notices Published: 13/11/2020 Last modified: 13/11/2020
   On 18 September 2020, the Financial Conduct Authority (the FCA) gave Carillion plc (in liquidation since 15 January 2018) and certain previous executive directors of Carillion a warning notice each, proposing to take action in respect of the conduct

3. Second Supervisory Notice 2020: Perry Prowse (Insurance Consultants) Ltd [pdf]

   Supervisory notices Published: 29/06/2020
   Second Supervisory Notice for Perry Prowse (Insurance Consultants) Ltd.

4. First Supervisory Notice 2020: Perry Prowse (Insurance Consultants) Ltd [pdf]

   Supervisory notices Published: 29/06/2020
   First Supervisory Notice for Perry Prowse (Insurance Consultants) Ltd.

5. First supervisory notice 2020: F1 Markets Ltd [pdf]

   Supervisory notices Published: 01/06/2020
   This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing

6. First supervisory notice 2020: Rodeler Ltd [pdf]

   Supervisory notices Published: 01/06/2020
   This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing

7. First supervisory notice 2020: Hoch Capital Ltd [pdf]

   Supervisory notices Published: 01/06/2020
   This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing

8. First supervisory notice 2020: Magnum FX Cyprus Ltd [pdf]

   Supervisory notices Published: 01/06/2020
   This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing

9. List of firms that have the modification by consent of SUP 10C.3.13 and SYSC 24.2.1 [xlsx]

   Waivers and CRR notices Published: 15/05/2020 Last modified: 22/10/2020
   Firms that have applied for this Modification by Consent. Firms can use this if they think they may need to make or extend temporary arrangements to cover absences, as a result of the coronavirus (Covid-19) crisis

10. Second Supervisory Notice 2020: BBP Bandenia PLC [pdf]

    Supervisory notices Published: 16/04/2020
    Second Supervisory Notice issued to BBP Bandenia PLC.