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1. Primary Market Bulletin 49

   Newsletters Published: 20/05/2024 Last modified: 31/05/2024
   This issue looks at Annual financial reporting, Long Term Incentive Plans (LTIPs) Global Depositary Receipts (GDRs) report  

2. Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules

   Press Releases Published: 17/06/2015 Last modified: 17/06/2015
   During the period from 28 June 2011 to 19 July 2013, ARM failed to take reasonable steps to establish and maintain adequate procedures, systems and controls to enable it to comply ... Listing Principle 2 (as applicable at the relevant time) states that a

3. FCA publishes Decision Notices for Carillion plc (in liquidation) and three of its former executive directors

   Press Releases Published: 28/07/2022 Last modified: 28/07/2022
   The FCA has imposed a public censure on Carillion, rather than a financial penalty, given the firm is insolvent and in liquidation

4. 2014 fines

   News stories Published: 02/01/2014 Last modified: 31/08/2016
   This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800.

5. FCA sets out expectations for UK cryptoasset businesses complying with the Travel Rule

   Statements Published: 17/08/2023 Last modified: 01/09/2023
   We set out our expectations for crypto firms to comply with the Travel Rule.

6. FSA fines Nestor Healthcare Group £175,000 for clearance to deal failings

   Press Releases Published: 14/02/2013 Last modified: 07/02/2022
   The Financial Services Authority (FSA) has fined Nestor Healthcare Group Limited (Nestor) £175,000 for failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s

7. Approved Persons Regime

   Tasks for firms Published: 12/05/2015 Last modified: 27/04/2023
   Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test.

8. Tackling the hard questions

   Speeches Published: 28/04/2016 Last modified: 18/01/2017
   Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

9. Primary Market Bulletin 44

   Newsletters Published: 20/03/2023 Last modified: 20/03/2023
   This edition covers diversity and inclusion, when a prospectus is required in Schemes of Arrangement and regulatory news with multimedia content.

10. Independent Governance Committees

    Tasks for regulated firms Published: 23/02/2016 Last modified: 09/02/2023
    Read about the FCA rules for workplace personal pension schemes and Independent Governance Committees (IGCs).