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Showing 5831 to 5840 of 7134 search results for final notice.

5831. Notice of Decision 2023: Ivan John Barker (trading as Goodwin Park) [pdf]

      Decision notices Published: 14/11/2023
      This Notice of Decision refers to a failure to carry on regulated activity. We imposed a cancellation.

5832. Notice of Intended Dividend: Anderson, Peacock and Pruthi [pdf]

      Corporate documents Published: 15/09/2015 Last modified: 03/08/2016

5833. Notice of Decision 2023: Technology Consulting Finance Limited [pdf]

      Decision notices Published: 11/09/2023
      This Notice of Decision (Technology Consulting Finance Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

5834. The future of financial services regulation in the UK

      Speeches Published: 29/10/2019 Last modified: 29/10/2019
      Speech delivered by Nausicaa Delfas, Executive Director of International, at the UK Financial Services Industry Beyond Brexit Summit, London.

5835. First supervisory notice 2020: Hoch Capital Ltd [pdf]

      Supervisory notices Published: 01/06/2020
      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

5836. Principles of good regulation

      About us How we regulate Published: 21/04/2016 Last modified: 20/07/2022
      The FCA considers the principles of good regulation when carrying out our work, and regulated firms must comply with our principles for businesses.

5837. FSA - Notice of Undertaking: UK Insurance Limited [pdf]

      Undertakings Published: 22/09/2008 Last modified: 30/05/2013
      Undertakings FSA - Notice of Undertaking: UK Insurance Limited - Travel Insurance

5838. FSA - Notice of Undertaking: Hayburn Rock Associates Ltd [pdf]

      Undertakings Published: 06/08/2007 Last modified: 30/05/2013
      Undertakings FSA - Notice of Undertaking: Hayburn Rock Associates Ltd - Independent financial advice

5839. Restrictions placed on Dolfin Financial (UK) Ltd

      News stories Published: 12/03/2021 Last modified: 27/08/2021
      The FCA has imposed a number of restrictions on Dolfin Financial (UK) Ltd, stopping it from carrying on any regulated activities due to concerns about the way it conducts its business.

5840. Article 21A Benchmarks Regulation – Notice of prohibition on new use of a critical benchmark [pdf]

      LIBOR notices Published: 16/11/2021
      Article 21A Benchmarks Regulation – Notice of prohibition on new use of a critical benchmark