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Showing 341 to 350 of 358 search results for FCA of a net short position.
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Occasional Paper No. 16: Are high-frequency traders anticipating the order flow? Cross-venue evidence from the UK market
Occasional Papers contribute to the work of the FCA by providing rigorous research results and stimulating debate. ... While they may not necessarily represent the position of the FCA, they are one source of evidence that the FCA may use while -
The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator
The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that -
FCA fines Pembrokeshire Mortgage Centre Ltd £2.4m for serious failings in relation to the British Steel Pension Scheme
The FCA has fined Pembrokeshire Mortgage Centre Limited (PMC) (trading as County Financial Consultants) (in liquidation) £2,354,331 for giving consumers unsuitable advice to transfer out of the British Steel Pension Scheme and other defined benefit -
FS20/18: Consumer credit and coronavirus: Updated guidance for firms (November 2020) - Feedback on draft guidance
We have updated our guidance on payment deferrals and tailored support to provide enhanced support to consumer credit customers who face payment difficulties as a result of coronavirus (Covid-19). -
State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings
State Street UK has been fined £22,885,000 by the Financial Conduct Authority (FCA). ... The FCA has an overarching strategic objective of ensuring the relevant markets function well. -
Capita Financial Managers to pay up to £66 million for the benefit of investors in the Connaught Income Fund, Series 1
The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered loss as a result of investing in the Guaranteed Low Risk -
Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling
The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted -
FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings
The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840. -
FS21/8: Feedback to consultation paper on liquidity mismatch in authorised open-ended property funds
We consulted on reducing the potential for investor harm where the terms for dealing in some property funds are not aligned with the time it takes to buy or sell the buildings in which the funds invest in. -
Coronavirus and customers in temporary financial difficulty: draft guidance for insurance and premium finance firms
FCA guidance on our expectations for firms when dealing with customers of general insurance and pure protection contracts who may be experiencing temporary financial difficulty because of coronavirus