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Showing 2991 to 3000 of 3286 search results for This Final Notice refers.

  1. IFPR implementation observations: quantifying threshold requirements and managing financial resources

    Multi-firm reviews Published: 27/02/2023 Last modified: 09/03/2023
    Firms should consider these and how they can strengthen their processes.

  2. The FCA decides to ban and fine Timothy Roberts and Andrew Wilkins

    Press Releases Published: 07/10/2013 Last modified: 07/02/2022
    FCA has published decision notices against Timothy Roberts, the chief executive, and Andrew Wilkins, a former director of Catalyst Investment Group Limited (Catalyst).

  3. Blue Gate Capital Limited ordered to pay Connaught investors £203,007

    Press Releases Published: 18/12/2020 Last modified: 18/12/2020
    The FCA has publicly censured Blue Gate Capital Limited (Blue Gate) and ordered it to pay £203,007 in restitution to investors who lost money investing in the Connaught Income Fund, Series 1 (the Fund). 

  4. Former chief executive of stockbroker firm fined £450,000 and banned

    Press Releases Published: 13/03/2015 Last modified: 13/03/2015
    the FCA to issue its final notice, which reflects the FSA’s 2012 decision. ... The Final notice for Gracechurch Investments Limited (in liquidation), 20th December 2012.

  5. FCA publishes Decision Notice against former Worldspreads CEO for market misconduct

    Press Releases Published: 03/07/2020 Last modified: 03/07/2020
    The Financial Conduct Authority (FCA) has today published a Decision Notice in respect of Conor Foley, the former Chief Executive Officer of Worldspreads, fining him £658,900 for market abuse and banning him from performing any roles linked to

  6. FS23/5: Review of rules extending SME access to the Financial Ombudsman Service

    Feedback statements Published: 24/10/2023 Last modified: 24/10/2023
    We set out our findings on whether the thresholds for small and medium sized enterprises (SMEs) to be able to refer complaints to the Financial Ombudsman Service (Ombudsman Service) remain appropriate.

  7. Keynote address: Financial crime in the FCA world

    Speeches Published: 01/07/2013 Last modified: 18/07/2013
    Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  8. Acting flexibly and treating customers fairly in the face of a pandemic

    Speeches Published: 04/11/2020 Last modified: 04/11/2020
    Speech on the FCA’s priorities for the credit market, by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations.

  9. Consumer Investments: Strategy and Feedback Statement

    Corporate documents Published: 14/09/2021 Last modified: 15/06/2023
    The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. 

  10. General insurance pricing attestation multi-firm review

    Multi-firm reviews Published: 02/12/2022 Last modified: 02/12/2022
    Assessing how firms satisfied themselves that they do not systematically discriminate against motor and home insurance customers based on the number of years they have held their policy, including any renewal (tenure).
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