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Showing 541 to 550 of 679 search results for Instrument of dissolution.
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Tribunal upholds FSA decision to fine firm £8m for market abuse
The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as -
Temporary prohibition of short selling: Credito Valtellinese sc, Telecom Italia spa
This follows a decision made by another EU Competent Authority. Details of the Financial Instruments concerned:. ... This applies to transactions in the following shares as well as to all related instruments relevant for the calculation of the net short -
Application under MIFID 4-12-66r additional firm questions [docx]
Application under MIFIDPRU 4.12.66R for permission to use sensitivity models to calculate interest rate risk on derivative instruments in accordance with article 331(1) of the UK CRR – Additional firm questions -
FCA bans Phillip Harold Boakes and sentence of 10 years upheld
Mr Boakes was appealing his sentence having pleaded guilty to three counts of using a forged instrument and two counts of fraudulent trading and one count of accepting deposits without authorisation. -
TR19/4: Understanding the money laundering risks in the capital markets
We carried out this thematic review to look at the money-laundering risks and vulnerabilities in the capital markets and, where possible, to develop case studies to help inform the industry. -
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation
extensive engagement with Europe on important Directives under consideration including embedding the Alternative Investment Fund Management Directive (AIFMD), and prepare for the implementation of Markets in Financial Instruments Directive (MiFID2). -
PS21/11: General insurance pricing practices - amendments
In May 2021, we published PS21/5 which set out our final rules to address the harm we had found in our GI Pricing Practices Market Study. On 18 August, we published PS21/11, making minor changes to these rules. -
FCA overhauls listing rules to boost growth and innovation on UK stock markets
The new rules are the biggest changes to the listing regime in over 3 decades. They aim to support a wider range of companies to issue their shares on a UK exchange, increasing opportunities for investors. -
FCA Board appoints three new members to the Regulatory Decisions Committee
In 2002 she set up the global financial instruments team at PwC and retained responsibility for it until she took on the role as head of regulatory affairs. -
Temporary prohibition of short selling: CTT - Correios de Portugal, S.A.
The Financial Conduct Authority (“FCA”) notifies that it temporarily prohibits short selling in the following instrument under Articles 23 (1) and 26 (4) ofRegulation (EU) No 236/2012 of the European ... This follows a decision made by another EU