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Showing 4311 to 4320 of 6326 search results for This final notice.

  1. FCA Decision Notice 2016: Andrew Tinney [pdf]

    Decision notices Published: 14/09/2016 Last modified: 16/08/2019
    This decision notice refers to breaches of APER 1 and FIT related to culture/governance, failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. Our view is that a public censure and

  2. Notice of Decision 2024: Devlin Motors Ltd [pdf]

    Decision notices Published: 22/07/2024
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.

  3. FSA - PS12/12 [pdf]

    Policy statements Published: 19/07/2012 Last modified: 30/05/2013
    Policy FSA - PS12/12 - We are publishing this Policy Statement to report on the main issues arising from Consultation Paper 12/6 (Regulating bidding for emissions allowances under Phase Three of the EU Emissions Trading Scheme). The rules in this

  4. FCA Decision Notice 2016: Money Matcher Limited [pdf]

    Decision notices Published: 03/05/2016
    This decision notice refers to the FCA’s belief that Money Matcher Limited (a debt management firm) does not meet the minimum standard for authorisation to carry on regulated activities, due to the FCA’s concerns related to appropriate

  5. Tackling the hard questions

    Speeches Published: 28/04/2016 Last modified: 02/07/2024
    Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016.

  6. PS17/5: Markets in Financial Instruments Directive II implementation – Policy Statement I

    Policy statements Published: 31/03/2017 Last modified: 31/03/2017
    31/03/2017. Last updated: 31/03/2017. This Policy Statement sets out our near final rules in the areas that we consulted on in CP15/43 (where we consulted mostly ... Please complete this form if you require this content in an alternative format.

  7. Decision Notice 2023: James Edward Staley [pdf]

    Decision notices Published: 12/10/2023
    This Decision Notice refers to breaches of the Senior Management Conduct Rules and Individual Conduct Rules relating to integrity and the disclosure of information to and relations with regulators. We have issued a Decision Notice seeking to impose

  8. FSA - PS13/2 Final rules for inflation-adjusted illustrations for personal pensions and new guidance on preparing product information [pdf]

    Policy statements Published: 21/03/2013 Last modified: 30/05/2013
    Policy FSA - PS13/2 - In CP12/29 we consulted on draft rules to move to inflation-adjusted illustrations for personal pensions and also new guidance for the preparation of product information. This Policy Statement (PS) provides feedback on the

  9. Notice of Decision 2024: Hamblyn Cars Limited [pdf]

    Decision notices Published: 15/03/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.       

  10. Financial Advice Market Review: final report [pdf]

    Corporate documents Published: 14/03/2016 Last modified: 14/03/2016
    This report presents a series of measures aimed at stimulating the development of a market that provides affordable and accessible financial advice and guidance for everyone, at all stages of their lives. It also contains proposals designed to
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