Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 4071 to 4080 of 4350 search results for FSA Final Notice.

  1. Darren Newton banned by the FCA for misappropriating client money

    Press Releases Published: 21/05/2018 Last modified: 21/05/2018
    The Financial Conduct Authority (FCA) has today published a Decision Notice, which sets out its decision to ban Darren Lee Newton from working in any regulated activity in the financial services sector.

  2. Final Notice 2020: J.B. Wilcock Insurance (Kenneth Melvin Pickles trading as) [pdf]

    Final notices Published: 11/09/2020 Last modified: 11/09/2020
    This final notice (J.B. Wilcock Insurance (Kenneth Melvin Pickles trading as)) 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,

  3. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

    Press Releases Published: 25/01/2018 Last modified: 25/01/2018
    The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in

  4. Final Notice 2020: Darren Evans (trading as BD Automotive and BD Performance) [pdf]

    Final notices Published: 16/10/2020 Last modified: 16/10/2020
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation

  5. CP15/20: Investing in authorised funds through nominees

    Consultation papers Published: 22/06/2015 Last modified: 22/06/2015
    FSA Handbook Notice 122, chapter 4. ... FCA Handbook Notice No 7, chapter 3. radios. Yes. No. What can we do to improve pages like this?

  6. LIBOR transition and contractual fallbacks

    Speeches Published: 28/01/2019 Last modified: 28/01/2019
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the International Swaps and Derivatives Association (ISDA) Annual Legal Forum.

  7. FCA confirms approach to European firms temporarily operating in the UK

    Press Releases Published: 18/01/2022 Last modified: 21/01/2022
    European firms wishing to remain in the temporary permissions regime (TPR) need to meet our standards to continue operating in the UK.

  8. FCA bans former RBS LIBOR submitter, Paul White

    Press Releases Published: 12/04/2016 Last modified: 12/04/2016
    External Broker: "nice, much appreciated.". The FCA issued Mr White with a Warning Notice on 18 June 2014, but proceedings were stayed due to the ongoing criminal investigation of the Serious

  9. Benchmarks Regulation: our powers, policy and decision-making

    Markets Published: 18/11/2020 Last modified: 02/04/2024
    Our policy approach to exercising our powers over critical benchmarks, and our decisions to use these powers to help manage an orderly wind-down of LIBOR.

  10. The rationale for the FCA’s Mission and the context which the FCA operates in

    Speeches Published: 26/10/2016 Last modified: 10/11/2016
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House.
Related topics