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Showing 4221 to 4230 of 4723 search results for final notice refers.

  1. CP23/3: Financial Services Compensation Scheme – Management Expenses Levy Limit 2023/24

    Consultation papers Published: 12/01/2023 Last modified: 12/01/2023
    The FCA and PRA consult on proposals for the FSCS's annual Management Expenses Levy Limit (MELL) for 2023/24.

  2. The supervision of sponsors

    Markets Published: 04/05/2016 Last modified: 13/06/2022
    Our supervision of sponsors is distinct from our supervision of authorised firms. We focus on ensuring sponsors fulfil their responsibilities under the listing regime.

  3. Decision Notice 2017: Nationwide Debt Consultants Limited [pdf]

    Decision notices Published: 09/05/2017
    This decision notice refers to breaches of COND, CONC and SYSC related to threshold conditions in the consumer credit sector. Our view is that a refusal should be imposed.

  4. Final Notice 2017: Goldenway Global Investments (UK) Limited and Gregory Rupert Nathan [pdf]

    Final notices Published: 23/08/2017
    This final notice relates to an application for the individual to perform controlled functions at the firm. For the reasons contained in the notice we refused the application in part, namely for Controlled Functions CF10 and CF11.

  5. Decision Notice: Henderson Carter Associates Limited (in liquidation) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Henderson Carter Associates Limited (in liquidation)) refers to breaches of PRIN 1 and Section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is

  6. Dealing with EEA firms and investment funds

    Consumers Published: 15/12/2020 Last modified: 19/06/2024
    What to check if you’re dealing with an EEA firm in supervised run-off (SRO) or contractual run-off (CRO), or a fund in the temporary marketing permission regime (TMPR).

  7. US dollar LIBOR panel – 1 month to go

    News stories Published: 31/05/2023 Last modified: 31/05/2023
    FCA issues final messages before the important end-June 2023 deadline.

  8. Outlining the FCA’s approach to authorisation

    Speeches Published: 15/03/2018 Last modified: 15/03/2018
    Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference.

  9. FCA Final Notice 2013: Howard Kennedy Corporate Services LLP [pdf]

    Final notices Published: 16/12/2013 Last modified: 07/11/2014
    Following a request received from Howard Kennedy Corporate Services LLP, the FCA hereby limits and restricts the services to which the sponsor approval of Howard Kennedy Corporate Services LLP relates.

  10. Regulatory Decisions Committee (RDC)

    About us Who we are Published: 05/04/2016 Last modified: 17/06/2024
    The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee.
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