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Showing 5641 to 5650 of 6339 search results for This final notice.
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Transparency waivers and deferrals
Market operators and investment firms operating a UK trading venue that would like a pre-trade transparency waiver must apply to us in advance. Find out how to apply for waivers and deferrals. -
FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest
FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest. -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
Liquidity management for investment firms: good practice
The FCA has been working with the Bank of England, at the request of the Financial Policy Committee (FPC), to assess risks posed by open-ended investment funds investing in the fixed income sector. As part of this work we have engaged with a number -
FCA authorises first Long Term Asset Fund
The Financial Conduct Authority (FCA) has authorised the first Long Term Asset Fund (LTAF). -
Notice of Decision 2024: Yorkshire Autos Ltd (formerly Rotherham Autos Ltd) [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Further update to ancillary activities exemption for commodity derivatives
In March 2022 we published a statement which provided an update on the ‘market share test’ as set out under Article 2 of UK MiFID RTS 20 relating to the ancillary activities exemption from authorisation as a MiFID investment firm for firms -
PS19/16: High-Cost Credit Review: Overdraft policy statement
These are the final rules we are introducing to reform the overdraft market. -
Consumer Duty implementation plans
The Consumer Duty will set higher and clearer standards of consumer protection across financial services and require firms to act to deliver good outcomes for customers. The FCA sets out here the findings from their review of firms’ plans to embed -
First Supervisory Notice 2023: QED Financial Associates Ltd [pdf]
For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on QED Financial Associates Ltd with immediate effect.