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Showing 5221 to 5230 of 7124 search results for final notice.

  1. FCA Decision Notice 2015: Stewart Owen Ford [pdf]

    Decision notices Published: 26/05/2015 Last modified: 27/05/2015
    This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, conflicts of interests, failing to act on information appropriately in the Asset Management sector.

  2. Notice of Decision 2024: Alexander Salisbury Ltd [pdf]

    Decision notices Published: 11/03/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.     

  3. Regulation in a changing world

    Speeches Published: 21/10/2019 Last modified: 21/10/2019
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the City of London/Cicero event on Future of Regulation.

  4. FSA Decision Notice 2012: Robin Farrell [pdf]

    Decision notices Published: 14/09/2012 Last modified: 31/03/2015

  5. FSA - Handbook Notice 118 [pdf]

    Handbook Published: 22/03/2012 Last modified: 30/05/2013
    FSA - Handbook Notice 118, handbook

  6. FSA - Handbook Notice 128 [pdf]

    Handbook Published: 26/03/2013 Last modified: 30/05/2013
    FSA - Handbook Notice 128, handbook

  7. Handbook Notice 109 [pdf]

    Handbook Published: 28/04/2011 Last modified: 30/05/2013
    FSA - Handbook Notice 109, handbook

  8. Notice of Decision 2023: The Watercooler Warehouse Limited [pdf]

    Decision notices Published: 29/09/2023
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  9. Consumer protection in the listing regime

    Speeches Published: 21/03/2014 Last modified: 28/03/2014
    But it was important for us that our final proposals attracted genuine and broadly based support. ... To conclude, when producing the final set of proposed changes to the listing rules, we sought to produce targeted enhancements to minority investor

  10. From intellectual certainty to debate

    Speeches Published: 25/02/2015 Last modified: 26/02/2015
    And this brings me on to my final point today, a quick reflection on the FCA’s first competition study into the UK’s wholesale markets, announced last week. ... So, our custodianship of this final translation from political priority into practice –
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