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Showing 51 to 60 of 74 search results for thresholds are also required to publish complaints data.

  1. Shareholding notification and disclosure

    Markets Published: 02/05/2016 Last modified: 08/09/2021
    Under the Disclosure and Transparency Rules (DTRs), shareholders and holders of financial instruments falling within DTR 5.3.1R(1) must sometimes make notifications.​
  2. Loan-based crowdfunding platforms: summary of our rules

    New firm authorisation Published: 11/05/2015 Last modified: 13/08/2021
    The following rules may be relevant for firms operating in the loan-based crowdfunding (including peer-to-peer and peer-to-business) market when considering their investment activities.
  3. Regulation round-up February 2018

    Newsletters Published: 15/02/2018 Last modified: 21/02/2018
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  4. Commodity derivatives: position limits, reporting regime and commitment of trader reports

    Firms Markets Markets policy Published: 23/05/2016 Last modified: 04/01/2021
    This regime for commodity derivatives aims to prevent market abuse and support orderly pricing and settlement conditions by improving transparency and oversight of financial markets.
  5. Financial Crime: analysis of firms’ 2017-2020 REP-CRIM data

    Data Published: 07/10/2021 Last modified: 07/10/2021
    The FCA provides analysis of the annual financial crime data return (REP-CRIM) submissions for the 3 reporting periods between 2017-2020.
  6. Potentially Anomalous Trading Ratio 2019/20

    Data Published: 10/09/2020 Last modified: 11/06/2021
    The FCA committed to developing and publishing additional measures that will further illustrate the state of UK markets.
  7. Electronification of trading

    Speeches Published: 06/04/2016 Last modified: 06/04/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy, FCA, delivered at the FIX 2016 EMEA Trading Conference. This is the text of the speech as drafted, which may differ from the delivered version.
  8. 2019 Disclosure Log

    Last modified: 02/10/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2019. 
  9. Reporting requirements: payment service providers and e-money issuers

    Tasks for regulated firms Published: 12/05/2015 Last modified: 17/03/2021
    The information and data we need from you to meet your regular reporting requirements, including details on how to submit your report.
  10. Defined Benefit (DB) transfers – further update on our work

    Multi-firm reviews Published: 05/06/2020 Last modified: 24/08/2020
    We set out further findings from our assessment of the suitability of defined benefit (DB) transfer advice, as part of a package of measures to improve standards in this area.