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Showing 631 to 640 of 679 search results for Instrument of dissolution.

  1. TR16/1: Assessing suitability: Research and due diligence of products and services

    Thematic reviews Published: 19/02/2016 Last modified: 25/02/2016
    We will be publishing a second consultation paper on the implementation of the Markets in Financial Instruments Directive (MiFID II) later this year.

  2. FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse

    Press Releases Published: 19/08/2022 Last modified: 19/08/2022
    The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse.

  3. FCA publishes Annual Report 2015/16 and report of its competition activities since 2013

    Press Releases Published: 12/07/2016 Last modified: 12/07/2016
    Making significant progress on major initiatives such as the Markets in Financial Instruments Directive and the Market Abuse Regulation;.

  4. DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements

    Discussion papers Published: 26/03/2015 Last modified: 03/11/2016
    We are launching a discussion on certain aspects of the revised Markets in Financial Instruments Directive (MiFID II) ahead of formal consultation later in 2015. ... firms currently exempt from MiFID under Article 3. The first Markets in Financial

  5. Consumer credit and coronavirus: additional guidance for firms (November 2020)

    Guidance consultations Published: 04/11/2020 Last modified: 04/11/2020
    This guidance applies in the exceptional circumstances arising out of the coronavirus pandemic (Covid-19) and its impact on the financial situation of consumer credit customers.

  6. PS18/21: SME access to the Financial Ombudsman Service - near-final rules

    Policy statements Published: 22/01/2018 Last modified: 17/12/2018
    Following publication of this Policy Statement with near-final rules, we have now published final rules. Our final rules, which are unchanged from our near-final rules, extend access to the Financial Ombudsman Service (‘the ombudsman service’)

  7. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

    Press Releases Published: 25/09/2013 Last modified: 04/11/2014
    IEL offers broking services for a wide range of financial products, including interest rates, foreign exchange, money market instruments and derivatives.

  8. Further guidance on enhancing resilience in Liability Driven Investment

    Multi-firm reviews Published: 24/04/2023 Last modified: 24/04/2023
    The FCA contacted asset managers as they enhance their resilience and review the vulnerabilities they experienced. This publication shares guidance and recommendations for LDI managers.

  9. FCA to ban the promotion of UCIS and certain close substitutes to ordinary retail investors

    Press Releases Published: 04/06/2013 Last modified: 03/11/2016
    The Financial Conduct Authority (FCA) has published final rules to ban the promotion of Unregulated Collective Investment Schemes (UCIS) and certain close substitutes (together to be known as Non-Mainstream Pooled Investments (NMPIs)) to the vast

  10. CP18/1: Aligning the Financial Services Compensation Scheme levy time period

    Consultation papers Published: 04/01/2018 Last modified: 23/02/2018
    We are consulting on transitional provisions to ensure that the life and pensions intermediation class will continue to benefit from support from the retail pool over the next few months, consistent with the FSCS’s public messaging on this.