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Showing 1761 to 1770 of 1850 search results for FSA Final Notice 2008.

  1. Shaping the future in asset management

    Speeches Published: 30/10/2013 Last modified: 30/10/2013
    Keynote speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  2. FCA fines Threadneedle Asset Management Limited £6m

    Press Releases Published: 15/12/2015 Last modified: 15/12/2015
    In April 2011, the Financial Services Authority (FSA) wrote to TAML and asked TAML to address specific concerns about the fixed income area of its front office, including the Emerging Markets ... The FSA was concerned about, among other things, the

  3. FCA fines TFS-ICAP £3.44 million for market misconduct

    Press Releases Published: 23/11/2020 Last modified: 23/11/2020
    The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients.

  4. The FCA fines Tullett Prebon £15.4 million

    Press Releases Published: 11/10/2019 Last modified: 11/10/2019
    The Financial Conduct Authority (FCA) has fined Tullett Prebon (Europe) Limited (Tullett Prebon) £15.4 million for failing to conduct its business with due skill, care and diligence, failing to have adequate risk management systems and for failing

  5. Primary Market Bulletin 46

    Newsletters Published: 19/12/2023 Last modified: 19/12/2023
    This edition covers Article 10 UK MAR and ESG stewardship  and TCFD-aligned disclosures: sponsor procedures.

  6. Statement regarding Swift Trade Court of Appeal Judgment

    Statements Published: 19/12/2013 Last modified: 04/11/2014
    Update – A Final Notice for Swift Trade was issued on 24 January 2014. ... The FSA published its Decision Notice against Swift Trade on 31 August 2011.

  7. Regulatory Decisions Committee (RDC)

    About us Who we are Published: 05/04/2016 Last modified: 17/06/2024
    The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee.

  8. Tribunal bans former trader for lying to the FCA and the Tribunal

    Press Releases Published: 17/12/2013 Last modified: 19/12/2013
    Kerr came to a settlement with the FSA on the basis that his role in the relevant trading amounted to market abuse. ... The final notice for Andrew Charles Kerr.

  9. Modelling integrity through culture

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Improving the consumer experience

    Speeches Published: 13/11/2013 Last modified: 04/12/2013
    Speech by Christopher Woolard, Director of Policy, Risk & Research at the FCA, to the Tax Incentivised Savings Association (TISA) Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.