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Showing 1112 to 1121 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. Financial Conduct Authority consults on restrictions on the retail distribution of regulatory capital instruments

    Press Releases Published: 29/10/2014 Last modified: 29/10/2014
    Distribution to professional and institutional investors remains unrestricted. Consultation paper: Restrictions on the retail distribution of regulatory capital instruments. ... Press release: FCA restricts distribution of CoCos to retail investors (5

  3. Rockingham Independent fined £35,000 for recommending unsuitable investments

    News stories Published: 14/09/2011 Last modified: 23/04/2013
    We have fined Rockingham Independent Limited £35,000 and imposed partial prohibitions on its two directors and an adviser at the firm for recommending unsuitable investments. Find out what this means for the firm’s customers.

  4. FCA consults on aspects of the Markets in Financial Instruments Directive II implementation

    Press Releases Published: 15/12/2015 Last modified: 15/12/2015
    MiFID was originally introduced in 2007 and the revised regime aims to strengthen investor protection, increase market resilience, reduce systemic risks and increase the overall efficiency and transparency of financial markets.

  5. CP20/15: Liquidity mismatch in authorised open-ended property funds

    Consultation papers Published: 03/08/2020 Last modified: 06/11/2020
    We are consulting on measures to address the potential harm caused by a mismatch in liquidity in certain UK authorised funds that invest directly in property, for example offices, shops and warehouses.

  6. Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser

    Statements Published: 21/05/2015 Last modified: 21/05/2015
    As a result, Mr Rosier did not take reasonable steps to demonstrate that the advice given to investors in relation to UCIS was suitable for them. ... The Tribunal found there would be a risk to investors if Mr Rosier was permitted to perform a

  7. Supervisory flexibility on RTS 27 reports and 10% depreciation notifications

    Statements Published: 19/03/2021 Last modified: 21/12/2021
    We are putting in place temporary measures with respect to RTS 27 reports and 10% depreciation notifications while we consult on changes to these requirements later this Spring.

  8. Tribunal upholds FSA decision to fine firm £8m for market abuse

    Press Releases Published: 28/01/2013 Last modified: 28/01/2015
    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

  9. Investment managers still failing to ensure effective oversight of best execution

    Multi-firm reviews Published: 03/03/2017 Last modified: 25/11/2021
    We outline findings from supervisory work looking at how investment managers deliver best execution for their clients.

  10. Occasional Paper 62: Matter of fact-sheets: improving consumer comprehension of financial sustainability disclosures

    Occasional papers Published: 25/10/2022 Last modified: 15/11/2022
    Clear communication via investor factsheets helps people understand investments based on their sustainability characteristics and may help them choose investments that better meet their needs.

  11. Supporting consumers through tough times – priorities for credit regulation

    Speeches Published: 23/03/2022 Last modified: 20/03/2024
    Speech by Brian Corr, Interim Director of Retail Lending at the FCA, delivered at Credit Summit 2022