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Showing 101 to 110 of 4483 search results for Final Notice 2023.
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Market abuse
Behaviour such as insider dealing and market manipulation can amount to market abuse. Find out more about the safeguards firms must have in place. -
Final Notice 2022: Tyne Point Car Sales Limited [pdf]
This final notice (Tyne Point Car Sales Limited) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the Credit Broking sector. We refused the firm’s application for authorisation. -
Investment Firms Prudential Regime (IFPR)
The IFPR is our new prudential regime for MiFID investment firms. The regime came into force on 1 January 2022. -
Operational Resilience
We set out the requirements of our policy and how to report an operational disruption. -
Final Notice 2023: Richard John Hamilton (Trading as Hamilton Motors and Richard H Hamilton Car Sales) [pdf]
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 -
AIFMD updates
There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms. -
Variation of permission
If your firm wants to change or add to its regulated activities, find out how you can apply to us for a variation of permission (VoP). -
Knowledge Base
The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules. -
US dollar LIBOR panel – 1 month to go
FCA issues final messages before the important end-June 2023 deadline. -
CP23/3: Financial Services Compensation Scheme – Management Expenses Levy Limit 2023/24
The FCA and PRA consult on proposals for the FSCS's annual Management Expenses Levy Limit (MELL) for 2023/24.