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Showing 3041 to 3050 of 3286 search results for This final notice refers.

  1. FCA statement on delay to publication of final rules for CFDs products and CFD-like options

    Statements Published: 26/04/2019 Last modified: 26/04/2019
    This statement provides an update on the Financial Conduct Authority’s (FCA) consultation on permanent product intervention measures to restrict the sale, marketing and distribution of contract for differences (CFDs) and CFD-like options sold to

  2. FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud

    Press Releases Published: 30/07/2015 Last modified: 30/07/2015
    This action follows the recent ban of Paul Robson, another trader at Rabobank. ... To date the FCA has issued 14 warning notices related to interest rate benchmarks, and continues wider investigations into individuals’ conduct in relation to LIBOR

  3. Beyond regulation: thinking creatively about consumer credit

    Speeches Published: 20/03/2018 Last modified: 20/03/2018
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Responsible Finance Conference, Glasgow.

  4. FCA bans partners of firm that failed to consider customer SIPP suitability

    Press Releases Published: 17/04/2014 Last modified: 20/05/2014
    This was then compounded by the partners’ failure to ensure that their customers fully understood these risks”. ... To support this it has three operational objectives: to secure an appropriate degree of protection for consumers; to protect and

  5. FCA bans and fines financial adviser £68,300 for lacking honesty and integrity

    Press Releases Published: 15/04/2021 Last modified: 15/04/2021
    The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval.

  6. News for customers of P.F. (International) Limited (“the firm”), a distributor of Kirby Vacuum Cleaners in the South West area of England

    News stories Published: 02/08/2018 Last modified: 27/11/2018
    Entering into any new regulated credit agreements and credit broking. This took effect immediately. ... This part of the First Supervisory Notice took effect from 1 November 2018.

  7. FCA fines Standard Life Assurance Limited £30 million for non-advised pension sales failures

    Press Releases Published: 23/07/2019 Last modified: 23/07/2019
    The Financial Conduct Authority (FCA) has today fined Standard Life Assurance Limited (SLAL) £30,792,500 for failures related to non-advised sales of annuities.

  8. Rules that apply to firms in SRO and fund operators in the TMPR

    Firms Focus areas Published: 19/08/2020 Last modified: 02/01/2024
    We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR).

  9. The Financial Conduct Authority bans former Deutsche Bank trader, Christian Bittar

    Press Releases Published: 14/09/2018 Last modified: 14/09/2018
    The Financial Conduct Authority (FCA) has banned Christian Bittar from performing any function in relation to any regulated financial activity.

  10. IFPR reporting, applications and notifications

    Firms Focus areas Published: 06/05/2022 Last modified: 13/02/2023
    The FCA provides information on how to submit MIFIDPRU applications and notifications, and information about MIF returns.
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