Related provisions for PERG 6.7.11
541 - 560 of 832 items.
(1) The FCA may, at any time, require an issuer to publish such information in such form and within such time limits as it considers appropriate to protect investors or to ensure the smooth operation of the market.(2) If an issuer fails to comply with a requirement under paragraph (1) the FCA may itself publish the information (after giving the issuer an opportunity to make representations as to why it should not be published).
Unless any of SUP App 2.4.1 R, SUP App 2.5.1 R, SUP App 2.5.3 R or SUP App 2.6.1 R applies, if a firm's circumstances change, such that its capital resources have fallen, or are expected to fall, below the level advised in individual capital guidance1 given to the firm by the appropriate regulator, then, consistent with PRIN 2.1.1 RPrinciple 11 (Relations with regulators), a firm should inform the appropriate regulator of this fact as soon as practicable, explaining why capital
The FCA may authorise the omission of information required by LR 9.7A.1 R or LR 9.7A.2 R if it considers that disclosure of such information would be contrary to the public interest or seriously detrimental to the listed company, provided that such omission would not be likely to mislead the public with regard to facts and circumstances, knowledge of which is essential for the assessment of the shares.1
(1) 1While the FCA will seek to obtain information from an RIE in the context of an open, cooperative and constructive relationship with the RIE, where it appears to the FCA that obtaining information in that context will not achieve the necessary results, the FCA or (as the case may be) its officers may, under section 165(7) of the Act, by notice in writing, require any of the following persons to provide or produce specified information or information of a specified description,
The purpose of this chapter is
to implement Article 27 of MiFID,
which deals with the requirements on systematic
internalisersfor pre-trade transparency in shares, the execution of orders on behalf of clients and
standards and conditions for trading. It also provides a rule requiring investment firms to notify the
FCA
when they become, or cease to
be, a systematic internaliser,
and which gives effect to Article 21(4) of the MiFID
Regulation. The chapter
In determining whether or not the
conduct of an approved person performing an accountable
significant-influence function3 complies with Statements
of Principle 5 to 7, the following are factors which, in the
opinion of the FCA,3 are to be taken into account:33(1) whether
he exercised reasonable care when considering the information available to
him;(2) whether
he reached a reasonable conclusion which he acted on;(3) the
nature, scale and complexity of the firm's business;(4) his
role
In the FCA's view, the question of whether funds are invested by BC with the aim of spreading investment risk is not affected by the levels of risk involved in particular investments. What matters for these purposes is that the aim is to spread the risk, whatever it may be. For example, the value of each of BC's investments, if taken separately, might be subject to a high level of risk. However, this would not itself result in BC failing to satisfy the property condition as long
Where, because of the occurrence of any event or circumstances, a UK recognised body is unable to discharge any regulatory function, it must immediately give the FCA1notice of its inability to discharge that function, and inform the FCA:111(1) what event or circumstance has caused it to become unable to do so; (2) which of its regulatory functions it is unable to discharge; and(3) what action, if any, it is taking or proposes to take to deal with the situation and, in particular,