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Showing 5581 to 5590 of 7130 search results for final notice.

  1. MiFID II – the road ahead

    Speeches Published: 20/10/2015 Last modified: 26/10/2015
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Decision Notice: Thomas Ward (de facto director of FPL) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Thomas Ward (de facto director of FPL)) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. Our view is that a prohibition and financial penalty

  3. First Supervisory Notice 2023: Harvest Associates Ltd [pdf]

    Supervisory notices Published: 05/06/2023
    For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on Harvest Associates Ltd with immediate effect.

  4. Notice of Decision 2024: Barbara Elizabeth Jean Preston [pdf]

    Decision notices Published: 04/07/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. 

  5. Notice of Decision 2023: AP Paper Supplies Limited [pdf]

    Decision notices Published: 13/11/2023 Last modified: 10/01/2024
    This Notice of Decision (AP Paper Supplies Limited) refers to a failure to carry on regulated activity. We imposed a cancellation.

  6. Notice of Decision 2024: RedsWebs & Shop Design Ltd [pdf]

    Decision notices Published: 29/05/2024
    This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

  7. Notice of Decision 2024: ALTERNATIVE ENERGY SERVICES LTD [pdf]

    Decision notices Published: 05/07/2024
    This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.

  8. MS15/2.3: Asset Management Market Study: Final Report: Annex 2: Fund merger and closure analysis [pdf]

    Market studies Published: 28/06/2017

  9. MS15/2.3: Asset Management Market Study: Final Report: Annex 3: Segregated mandate pricing analysis [pdf]

    Market studies Published: 28/06/2017

  10. MS15/2.3: Asset Management Market Study: Final Report: Annex 5: Assessment of third party datasets [pdf]

    Market studies Published: 28/06/2017
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