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Is it a Wonderful Life?
Speech by Charles Randell, Chair, FCA delivered at the Retail Banking Conference 2019 in London -
FCA introduces new rules on whistleblowing
Today’s publications follow on from the publication of the FCA’s and PRA’s final rules on improving individual accountability in the UK banking sector on 7 July 2015. ... Future publications on banking accountability. Final rules on the inclusion -
Notice of Decision 2024: Lucky Charm Finance Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
First supervisory notice 2020: F1 Markets Ltd [pdf]
This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing -
Notice of Decision 2024: 247 Commercial Vehicles Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Warning notice statement 14/16 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 18 July 2014 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 14/14 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a warning notice on 18 June 2014 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 14/12 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a warning notice on 18 June 2014 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 14/13 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 15 May 2014 proposing to take action in respect of the conduct summarised in this statement. -
Warning notice statement 14/15 – Individual [pdf]
The Financial Conduct Authority (the FCA) gave an individual a warning notice on 18 June 2014 proposing to take action in respect of the conduct summarised in this statement.