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Showing 3761 to 3770 of 7112 search results for final notice.
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PS23/13: Introducing a gateway for firms who approve financial promotions
The FCA's final policy position and response to the feedback received to its consultation on introducing a gateway for firms who approve financial promotions. -
FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor
The Final Notice for Execution Noble & Company Limited. ENCL breached Listing Rules 8.3.5R and 8.7.8R (1) (a) – in summary these rules require sponsors to be open and -
Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services
The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business. Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and, -
FCA fines GAM International Management and former Investment Director Timothy Haywood
The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML. -
CP17/31: Market infrastructure providers - 2017/18 fee rates
We are consulting on the setting of our 2017/18 periodic fee rates for market infrastructure providers. -
FCA fines Merrill Lynch International £13.2 million for transaction reporting failures
Without this discount the fine would have been £18,979,876. The Final Notice for Merrill Lynch International. -
PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc
PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action. -
FCA confirms measures to raise standards in the funeral plans market
To enhance consumer protection in the funeral plans market, the FCA has confirmed the rules funeral plan providers will have to follow when they come under regulation from 29 July 2022. -
FCA consults on new guidance on variation terms under unfair terms legislation
The Financial Conduct Authority (FCA) is consulting on new guidance outlining factors financial services firms should consider under the Consumer Rights Act 2015 (CRA) when drafting and reviewing variation terms in their consumer contracts. The CRA -
FCA proposes permanent measures for retail CFDs and binary options
The Financial Conduct Authority (FCA) is proposing rules to address harm to retail consumers from the sale of certain complex derivative products with the publication of two consultation papers.