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Showing 5421 to 5430 of 6336 search results for This final notice.

  1. Decision Notice: Henderson Carter Associates Limited (in liquidation) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Henderson Carter Associates Limited (in liquidation)) refers to breaches of PRIN 1 and Section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is

  2. First Supervisory Notice 2022: Pello Capital Limited [pdf]

    Supervisory notices Published: 21/12/2022 Last modified: 23/12/2022
    This First Supervisory Notice refers to breaches of Prin 3, 4 and 11 related to failing demonstrate that Pello Capital Limited has adequate and appropriate systems and controls to effectively manage risks. Failing to maintain adequate financial

  3. IRHP: agreements with the banks and instructions to the independent reviewers

    Consumers Published: 26/04/2016 Last modified: 14/12/2021
    Consumers IRHP: agreements with the banks and instructions to the independent reviewers.

  4. OFT Requirement Notice: American Express Services Europe Limited [pdf]

    Requirement notices Published: 17/11/2010 Last modified: 15/04/2014
    This Notice from the OFT placed a requirement on American Express Services Europe Limited which applies to its Consumer Credit Interim Permission.

  5. PS23/4: Improving equity secondary markets

    Policy statements Published: 03/05/2023 Last modified: 03/05/2023
    The FCA sets out the final policy on changes to technical standards and summarise feedback to CP22/12.

  6. Calibrating controls to build confident markets

    Speeches Published: 06/09/2023 Last modified: 06/09/2023
    Speech by Sarah Pritchard, Executive Director of Markets and International at the Financial Crime Summit 2023 by 1LoD.

  7. FCA stops EverFX offering CFDs to UK customers

    Press Releases Published: 26/05/2021 Last modified: 26/05/2021
    The FCA stops the Cypriot-based firm and other members of its group which trade as EverFX, from offering high risk contracts for differences to UK investors.

  8. Consumer credit – Ongoing service and end of agreement

    Consumer credit firms Published: 26/04/2019 Last modified: 03/02/2023
    We outline why your commitment to customers does not end after they enter into an agreement with you.

  9. Duty calls: Future-proofing finance for everyone

    Press Releases Published: 28/12/2023 Last modified: 03/01/2024
    Now into the second year of its 3-year strategy, FCA outlines some key achievements and milestones from the last 12 months.

  10. Warning notice statement 14/11 – Firm [pdf]

    Warning notices Published: 19/06/2014 Last modified: 19/06/2014
    The Financial Conduct Authority (the FCA) gave a firm a Warning Notice on 30 April 2014 proposing to take action in respect of the conduct summarised in this statement.
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