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Showing 101 to 110 of 5212 search results for final%20notice.

101. UKLA Technical Note 209.1 - Listing Principle 2 - Dealing with the FCA in an open and co-operative manner [pdf]

     UK Listing Authority Published: 06/08/2014 Last modified: 06/08/2014

102. UKLA Technical Note 709.2 - Sponsor transactions – Adequacy of resourcing [pdf]

     UK Listing Authority Published: 06/08/2014 Last modified: 06/08/2014

103. UKLA Procedural Note 910.1 - Additional powers to supervise sponsors [pdf]

     UK Listing Authority Published: 06/08/2014 Last modified: 06/08/2014

104. UKLA Procedural Note 909.2 - Sponsor firms – ongoing requirements during re-organisations [pdf]

     UK Listing Authority Published: 06/08/2014 Last modified: 06/08/2014

105. UKLA Technical Note 632.1 - Non-equity prospectuses aimed at retail investors [pdf]

     UK Listing Authority Published: 27/11/2014 Last modified: 27/11/2014

106. Wholesale markets firm applicants

     Firm authorisation Published: 04/07/2023 Last modified: 24/04/2024
     If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first.

107. Consumer Duty

     Focus areas Last modified: 21/02/2024
     Our Consumer Duty sets higher and clearer standards of consumer protection across financial services and requires firms to put their customers’ needs first

108. Final direction under s277A FSMA [pdf]

     Handbook Published: 24/06/2014 Last modified: 03/08/2016

109. Apply to become a consumer credit broker

     Firm authorisation Published: 15/11/2023 Last modified: 15/11/2023
     Find out how to apply to the FCA for authorisation if you want to engage in regulated activities as a consumer credit broker.

110. Apply to become a claims management company

     Firm authorisation Published: 27/04/2020 Last modified: 19/12/2023
     Find out how to apply to the FCA for authorisation if you’re a claims management company (CMC) or you provide claims management activities.