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Showing 1272 to 1281 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 adviser banned and fined £300,000 after clients lost out investing in companies he controlled

    Press Releases Published: 16/09/2014 Last modified: 16/09/2014
    St James’s Place subsequently paid these 11 investors £1.9m in compensation. ... Insolvency Service press release: 13 year ban for London director and financial adviser who misled investors.

  3. FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice

    Press Releases Published: 20/05/2015 Last modified: 22/05/2015
    was involved in retrospectively creating signatures purporting to be the signatures of two clients on sophisticated investor certificates to suggest that UCIS products could legitimately be promoted to them;.

  4. PS14/8: Response to CP13/15 – Enhancing the effectiveness of the Listing Regime

    Policy statements Published: 16/05/2014 Last modified: 27/04/2016
    The rules that we are publishing in this PS are designed to strengthen the protection of investors.

  5. CP15/27: UCITS V implementation and other changes to the Handbook affecting investment funds

    Consultation papers Published: 03/09/2015 Last modified: 18/01/2017
    investors in authorised funds and their representatives.

  6. CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients

    Consultation papers Published: 06/12/2016 Last modified: 09/03/2017
    This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks.

  7. FCA finalises proposals to boost disclosure of diversity on listed company boards and executive committees

    Press Releases Published: 20/04/2022 Last modified: 20/04/2022
    We have finalised our rules requiring listed companies to report information and disclose against targets on the representation of women and ethnic minorities on their boards and executive management.

  8. FCA consults on proposals to boost disclosure of diversity on listed company boards and executive committees

    Press Releases Published: 28/07/2021 Last modified: 28/07/2021
    FCA consults on proposals to boost disclosure of diversity on listed company boards and executive committees.

  9. FSA fines Prudential £30 million and censures CEO for failing to inform regulator of 2010 acquisition plans

    Press Releases Published: 27/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined companies in the Prudential Group (Prudential) a total of £30 million for breaching FSA Principles and UKLA Listing Principles. The fines relate to Prudential’s failure to inform the FSA at the

  10. FCA to consult on use of 'side pockets' for retail funds with exposure to sanctioned and suspended Russian assets

    Statements Published: 16/03/2022 Last modified: 16/03/2022
    The FCA has begun discussions with stakeholders about options to allow UK authorised retail funds to make exceptional use of 'side pockets' given the significant practical challenges in disposing of Russian and Belarussian assets in the context of

  11. What firms and customers can expect from the consumer duty and other regulatory reforms

    Speeches Published: 29/09/2022 Last modified: 29/09/2022
    Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at City and Financial Global.