Search results
Showing 3161 to 3170 of 3286 search results for This final notice refers.
-
CP24/1: Financial Services Compensation Scheme - Management Expenses Levy Limit 2024/25
In a joint consultation with the Prudential Regulation Authority (PRA), we are consulting on the management expenses levy limit (MELL) for the Financial Services Compensation Scheme (FSCS). -
FCA fines Merrill Lynch International £13.2 million for transaction reporting failures
Proper transaction reporting really matters. Merrill Lynch International has failed to get this right again – despite a Private Warning, a previous fine, and extensive FCA guidance and enforcement action in this ... Without this discount the fine would -
CP18/28: Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation
In this paper, we publish our proposals on how we will amend our Handbook and EU derived binding technical standards (BTS) if the UK leaves the EU without an implementation period in place. We also set out our proposed approach to EU -
CP20/16: Debt advice levy rates for 2020/21 – additional funding
We are consulting on the rates at which we propose to charge our levies for the additional amount of funding for debt advice notified to us by Her Majesty’s Treasury (the Treasury) and the Department for Work and Pensions (DWP) in 2020/21. -
PS21/21: The stronger nudge to pensions guidance: feedback on CP21/11 and final rules and guidance
We have published our final rules and guidance for firms on the stronger nudge to Pension Wise guidance. -
Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting. -
ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
This is our fourth penalty in relation to LIBOR and our investigations continue. ... The Final Notice for IEL. -
FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures
The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA. -
FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures
Sigma Broking Limited (Sigma) has been fined £531,000 for failing to make reports crucial in fighting potential market abuse and three directors have been fined amounts totalling over £200,000, two of whom have also been prohibited. -
Authorised fund managers’ assessments of their funds’ value
This review sets out our findings from our review, where we looked at the processes used by different Authorised Fund Managers (AFMs) when they carry out assessments of value (AoVs or 'Value Assessments') for the funds they operate.