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Showing 1292 to 1301 of 1334 search results for ScamSmart investor.

  1. CP16/14: UCITS V Level 2 Regulation, SFTR and consequential changes to the Handbook

    Consultation papers Published: 19/05/2016 Last modified: 19/05/2016
    We are consulting on proposed changes to the Client Assets sourcebook (CASS) and the Collective Investment Schemes sourcebook (COLL), following the adoption of the Undertakings for Collective Investment in Transferable Securities V Level 2
  2. PS19/24: Illiquid assets and open-ended funds and feedback to Consultation Paper CP18/27

    Policy statements Published: 30/09/2019 Last modified: 30/09/2019
    This Policy Statement summarises the feedback received to our consultation on illiquid assets and open-ended funds. It sets out our final rules relating to disclosure, liquidity management and suspension of dealing, as originally proposed in CP18/27.
  3. Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit

    Press Releases Published: 25/02/2019 Last modified: 25/02/2019
    Market participants can be assured of the continuity of derivatives trading and clearing activities between the UK and US, after the UK’s withdrawal from the EU, following this joint statement by the Bank of England including the Prudential
  4. FCA finds further work required to fully embed ‘Guiding Principles’ for ESG and sustainable investment funds

    Press Releases Published: 16/11/2023 Last modified: 16/11/2023
    A review by the FCA has found that while most Authorised Fund Managers (AFMs) have made efforts to comply with the FCA’s expectations on the design, delivery, and disclosure of their ESG and sustainable funds, further improvement is needed.
  5. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

    Press Releases Published: 11/08/2015 Last modified: 12/01/2023
    The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that
  6. Allianz Investments / The Allianz Group / Allianz Assurance Company (Clone of FCA authorised firm)

    Warnings Published: 04/02/2022 Last modified: 13/02/2024
    Allianz Investments / The Allianz Group / Allianz Assurance Company (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 should be wary
  7. CP15/38: Provisions to delay disclosure of inside information within the FCA’s Disclosure and Transparency Rules

    Consultation papers Published: 20/11/2015 Last modified: 20/11/2015
    The intention of these rules is to promote a properly functioning market by ensuring that investors have sufficient and timely information to make informed investment decisions.
  8. FS23/7: Long-Term Asset Funds (LTAFs) - Financial Services Compensation Scheme Coverage Feedback Statement

    Feedback statements Published: 30/10/2023 Last modified: 30/10/2023
    Our Summary of the feedback we received to PS23/7 on Long-Term Asset Funds (LTAFs) and our next steps.
  9. FCA statement on selling high-risk speculative investments to retail clients following ESMA’s action on CFD products

    Statements Published: 01/08/2018 Last modified: 01/08/2018
    These measures apply across the EU from today. We fully support ESMA’s measures, which are designed to protect retail investors. ... In common with other regulators across Europe, we know that other products can create the same kinds of risks to
  10. Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds

    Multi-firm reviews Published: 16/11/2023 Last modified: 16/11/2023
    We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and