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Showing 3941 to 3950 of 4349 search results for FSA Final Notice.
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CCR007 consumer credit data: how to complete the return
Most consumer credit firms with limited permission are required to complete the CCR007 return. We provide guidance and information for firms on each question in the form. -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
Consumer investments data review 2020
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020. -
Final Notice 2018: JP Greenslade (Jonathan Greenslade trading as) [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation. -
Regulatory Decisions Committee (RDC)
The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee. -
Final Notice 2022: Mark Twizell (trading as Rotary Car Sales) [pdf]
This Final Notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation. -
Learning the lessons of the past as an industry
Our notices and the root causes that underpin the failings should inform your approach to consideration of the risks you face. ... Between 2005 and 2008 the amount of guidance issued to the industry by the FSA increased by some 27%. -
FCA fines Henderson £1.9m for fund failings
The Financial Conduct Authority (FCA) has fined Henderson Investment Funds Limited (HIFL) £1,867,900 for failing to treat fairly more than 4,500 retail investors in two of its funds, Henderson Japan Enhanced Equity Fund and the Henderson North -
Final Notice 2019: ODA Life Textile and Furniture Limited [pdf]
This final notice (ODA Life Textile and Furniture Limited) refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation. -
Enforcement data – Annual Report 2020/21
This FCA enforcement data for the year 2020/21 forms part of the FCA's annual report 2020/21.