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Showing 331 to 340 of 358 search results for FCA of a net short position.
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Morses Club Limited and Shelby Finance Ltd (trading as Dot Dot Loans) enter administration
Morses Club Limited and its wholly owned subsidiary Shelby Finance Ltd (trading as Dot Dot Loans) have entered administration. -
Financial Conduct Authority unveils successful sandbox firms on the second anniversary of Project Innovate
The Financial Conduct Authority (FCA) today marks the second anniversary of Project Innovate by announcing the firms that were successful in their applications to begin testing in the first cohort of the regulatory sandbox. -
Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money
The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in -
Matter of fact-sheets: improving consumer comprehension of financial sustainability disclosures
To help consumers better understand sustainability disclosures for investment products, we carried out a programme of behavioural research. -
Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness
Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference. -
Further guidance on enhancing resilience in Liability Driven Investment
The FCA contacted asset managers as they enhance their resilience and review the vulnerabilities they experienced. This publication shares guidance and recommendations for LDI managers. -
Occasional paper No.40: Time to act: A field experiment on overdraft alerts
As part of the high-cost credit review, the FCA wanted to understand the impact of automatically enrolling customers into just-in-time arranged overdraft alerts and early warning alerts for overdrafts and unpaid items. -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
The failings outlined in this alert are unacceptable and amount to conduct that falls well short of firms’ obligations under our Principles for Businesses and Conduct of Business rules. ... We have also seen a number of firms adapting their business -
Occasional Paper No. 59: Sitting on a gold mine: Getting what’s owed to pawnbroking customers
In 2018, the FCA found that pawnbroking customers are not always collecting the ‘surplus’ money owed to them. In this paper, we share the results of a first intervention designed to address this.