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Showing 571 to 580 of 679 search results for Instrument of dissolution.
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CFD firms fail to meet our expectations on appropriateness assessments
Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms. -
Extension of temporary restriction in short selling: Liberbank, S.A
The Financial Conduct Authority (“FCA”) would like to draw the industry’s attention to the announcement by the Spanish Comisión Nacional del Mercado de Valores (CNMV) which extends the restrictions of transactions under Article 20 (2) (a) and -
Annual Report 2015/16 and Competition Report 2013-16
making significant progress on major initiatives such as the Markets in Financial Instruments Directive and the Market Abuse Regulation. -
FCA fines and restricts W H Ireland Limited for market abuse risks
These clients may have bought and sold financial instruments or may have been advised to do so by the firm without the necessary protections in place. -
PS17/24: Handbook changes to reflect the new regulatory framework for Insurance-Linked Securities
Policy Statement 17/24 (PS17/24) set out our near-final rule changes required to the FCA Handbook to incorporate the new regulated activity of insurance risk transformation. When we published PS17/24 on 1 November 2017 we had to publish near-final, -
Changes to UK EMIR reporting requirements: draft questions and answers
The FCA sought feedback alongside the Bank of England (the Bank) on our draft guidance for reporting under the revised UK EMIR Article 9 reporting requirements. -
PS16/18: Changes to the Decision Procedure and Penalties manual and the Enforcement Guide for the implementation of the Market Abuse Regulation
This CP noted that the Treasury was preparing a Statutory Instrument (SI) to modify domestic law to meet the UK's obligation to implement EU MAR. ... This Policy Statement will be relevant to (among others) firms or individuals who directly or indirectly -
PS21/20: Changes to UK MiFID’s conduct and organisational requirements
We set out our final policy position and rules on changes to the research rules and removal of best execution reporting in RTS 27 and RTS 28 following feedback to CP21/9. -
CP14/6: FCA regulated fees and levies: rates proposals 2014/15
We are consulting on our proposed 2014/15 regulatory fees and levies for the FCA, the Financial Ombudsman Service (ombudsman service) general levy, and the Money Advice Service. -
Temporary prohibition of short selling: Banca Monte dei Paschi di Siena S.p.A.
The Financial Conduct Authority (“FCA”) notifies that it temporarily prohibits short selling in the following instrument under Articles 23 (1) and 26 (4) of Regulation (EU) No 236/2012 of the ... This follows a decision made by another EU Competent