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Showing 601 to 610 of 679 search results for Instrument of dissolution.

  1. MiFID II costs and charges disclosures review findings

    Multi-firm reviews Published: 28/02/2019 Last modified: 28/02/2019
    As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and

  2. TR15/11: Financial Benchmarks: Thematic Review of Oversight and Controls

    Thematic reviews Published: 29/07/2015 Last modified: 04/11/2019
    This report presents the findings from our thematic review of firms’ oversight and controls in relation to financial benchmarks.

  3. Temporary restriction in short selling - extension

    Statements Published: 07/06/2016 Last modified: 31/08/2016
    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 ... Details of the Financial Instrument concerned: a) Banco

  4. FCA statement on the Opinion of ESMA on our final rules for CFDs and CFD-like options

    Statements Published: 02/07/2019 Last modified: 04/07/2019
    This notice sets out the FCA's reasons for acting contrary to the European Securities and Markets Authority’s (ESMA) Opinion of our national product intervention measures restricting how CFDs and CFD-like options are sold to retail

  5. CP14/31: Strengthening accountability in banking: forms, consequential and transitional aspects

    Consultation papers Published: 19/12/2014 Last modified: 14/09/2015
    the FCA draft instrument. Please send your responses to both regulators at the following addresses:[email protected] and [email protected].

  6. FCA consults on how to extend the Senior Managers Regime to benchmark administrators

    Press Releases Published: 29/11/2019 Last modified: 11/04/2024
    FCA consults on how to extend the Senior Managers Regime (SMR) to benchmark administrators

  7. Fraudster Benjamin Wilson sentenced to seven years imprisonment following successful FCA prosecution

    Press Releases Published: 14/02/2014 Last modified: 22/11/2021
    Benjamin Wilson of Bournemouth, Dorset sentenced to seven years at Southwark Crown Court for defrauding investors of over £21m, following previous guilty pleas for fraud, forgery and operating a collective investment scheme without authorisation

  8. FCA finds MiFID II research unbundling rules working well for investors

    Press Releases Published: 19/09/2019 Last modified: 19/09/2019
    The Financial Conduct Authority (FCA) has today published multi-firm review findings indicating the Markets in Financial Instruments Directive’s (MiFID II) research unbundling rules have improved asset managers’ accountability over costs, saving

  9. Temporary restriction in short selling - extension

    Statements Published: 14/07/2014 Last modified: 08/11/2016
    This follows a decision made by another EU Competent Authority. Details of the Financial Instrument concerned: Banco Espírito Santo, S.A.

  10. Andrew Bailey speech at press conference for the publication of FCA corporate documents

    Speeches Published: 18/04/2017 Last modified: 18/04/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at the press conference for the publication of FCA corporate documents.