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Showing 2801 to 2810 of 3282 search results for This Final Notice refers.

  1. Information on enforcement cases/investigations - August 2020

    FOI Release Date of Release: 14/08/2020
    We prvide information on how many enforcement cases/investigations targeting individuals were opened by us over the last two years.

  2. Primary Market Bulletin 31

    Newsletters Published: 11/11/2020 Last modified: 11/11/2020
    Welcome to the 31st edition of the Primary Market Bulletin (PMB)

  3. Advising on pension transfers – our expectations

    News stories Published: 24/01/2017 Last modified: 12/04/2024
    Check the FCA requirements when you provide advice on pension transfers.

  4. Information on Cum-Ex trades-November 2022

    FOI Release Date of Release: 29/11/2022
    FCA provides information on Ex trades.

  5. FCA bans two individuals for lack of integrity

    Press Releases Published: 09/06/2016 Last modified: 09/06/2016
    He arranged for this to be paid directly into a bank account in his name. ... To support this it has three operational objectives: to secure an appropriate degree of protection for consumers, to protect and enhance the integrity of the UK financial

  6. Becoming an appointed representative if you’re a funeral plan intermediary

    Firms Tasks for firms Published: 03/05/2021 Last modified: 01/11/2023
    Find out how to become an appointed representative (AR) that sells and distributes funeral plans on behalf of a principal firm.

  7. Tribunal bans former trader for lying to the FCA and the Tribunal

    Press Releases Published: 17/12/2013 Last modified: 19/12/2013
    Given this finding the Tribunal allowed Hobbs’ reference and directed the FCA to take no action against him. ... The final notice for Andrew Charles Kerr.

  8. FCA publishes final guidance on concurrent competition powers

    Press Releases Published: 15/07/2015 Last modified: 15/07/2015
    The Financial Conduct Authority (FCA) has today published the final guidance on its concurrent competition powers together with a policy statement setting out its responses to feedback received during the consultation ... to refer markets to the

  9. FCA confirms greater access for SMEs to the Financial Ombudsman Service

    Press Releases Published: 16/10/2018 Last modified: 16/10/2018
    The Financial Conduct Authority (FCA) has today confirmed plans to extend access to the Financial Ombudsman Service (‘the ombudsman service’) to more small and medium-sized enterprises (SMEs).

  10. Dealing with EEA firms and investment funds

    Consumers Published: 15/12/2020 Last modified: 19/06/2024
    What to check if you’re dealing with an EEA firm in supervised run-off (SRO) or contractual run-off (CRO), or a fund in the temporary marketing permission regime (TMPR).
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