Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1042 to 1051 of 1334 search results for ScamSmart investor.

  1. Should you invest?

    Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension.

  2. PS17/23: Reforming the availability of information in the UK equity IPO process

    Policy statements Published: 01/03/2017 Last modified: 26/10/2017
    We are setting out a package of measures intended to improve the range, quality and timeliness of information that is available to investors during the UK equity IPO process.

  3. Authorised fund managers’ assessments of their funds’ value

    Multi-firm reviews Published: 06/07/2021 Last modified: 06/07/2021
    This review sets out our findings from our review, where we looked at the processes used by different Authorised Fund Managers (AFMs) when they carry out assessments of value (AoVs or 'Value Assessments') for the funds they operate.

  4. FCA bans and fines financial adviser £68,300 for lacking honesty and integrity

    Press Releases Published: 15/04/2021 Last modified: 15/04/2021
    The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval.

  5. RBC Capital Markets / RBC Investor & Treasury Services / RBC Financial Group (clone of FCA authorised firm)

    Warnings Published: 30/10/2020 Last modified: 30/10/2020
    RBC Capital Markets / RBC Investor & Treasury Services / RBC Financial Group (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you

  6. FCA proposes new rules on dealing commission for investment managers

    Press Releases Published: 25/11/2013 Last modified: 25/11/2013
    The Financial Conduct Authority (FCA) has today proposed improvements to the rules and new guidance over investment managers’ use of client commissions. These changes will ensure that charges paid by consumers for executing trades and related

  7. GC13/7 Changing customers to post-RDR unit classes

    Guidance consultations Published: 23/10/2013 Last modified: 23/10/2013
    We are setting out our approach following queries from stakeholders and some evidence of uncertainty about how to convert investors to the new unit classes. ... whether a new disclosure document (e.g. a Key Investor Information Document (KIID) for a

  8. Inducements and conflicts of interest thematic review: key findings

    Thematic reviews Published: 18/04/2016 Last modified: 18/04/2016
    While we saw firms describing the nature of the benefits, they did not give investors an indication of the value of such benefits.

  9. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

    Press Releases Published: 31/03/2014 Last modified: 01/04/2014
    acting as good agents and taking proper account of investor interests.

  10. FCA responds to Chancellor's statement on future of UK financial services

    Statements Published: 09/11/2020 Last modified: 09/11/2020
    Nikhil Rathi, Chief Executive of the Financial Conduct Authority, responds to the Chancellor's statement.

  11. Research Note: Fixed Income ETFs: secondary market participation and resilience during times of stress [pdf]

    Research notes Published: 25/01/2021
    The rapid growth in exchange-traded fund (ETF) markets creates potential risks to investor protection and financial stability. File updated with accessibility tags