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Showing 4231 to 4240 of 4723 search results for final notice refers.

  1. Competition and investment banking

    Speeches Published: 09/07/2014 Last modified: 09/07/2014
    Our competition objective refers specifically to promoting effective competition ‘in the interests of consumers.’ So where competition issues are raised, we also want to see evidence and views on the potential ... A final theme that I would like to

  2. Decision Notice: Cathay International Holdings Limited [pdf]

    Decision notices Published: 31/05/2019
    This decision notice (Cathay International Holdings Limited) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed.

  3. Cost of living consumer credit data collection

    Firms Published: 01/11/2022 Last modified: 07/05/2024
    More information on the collection of data from consumer credit firms so we can monitor and assess the impact of the rising cost of living on consumers

  4. First Supervisory Notice 2022: Pello Capital Limited [pdf]

    Supervisory notices Published: 21/12/2022 Last modified: 23/12/2022
    This First Supervisory Notice refers to breaches of Prin 3, 4 and 11 related to failing demonstrate that Pello Capital Limited has adequate and appropriate systems and controls to effectively manage risks. Failing to maintain adequate financial

  5. Tesco to pay redress for market abuse

    Press Releases Published: 28/03/2017 Last modified: 23/08/2017
    The Financial Conduct Authority (FCA) announced in March that Tesco plc and Tesco Stores Limited (Tesco) have agreed that they committed market abuse in relation to a trading update published on 29 August 2014, which gave a false or misleading

  6. Business Plan 2023/24

    Corporate documents Business plans Published: 04/04/2023 Last modified: 02/07/2024
    The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy.

  7. Becoming an appointed representative if you’re a funeral plan intermediary

    Firms Tasks for firms Published: 03/05/2021 Last modified: 01/11/2023
    Find out how to become an appointed representative (AR) that sells and distributes funeral plans on behalf of a principal firm.

  8. Business Plan 2022/23

    Business plans Published: 07/04/2022 Last modified: 27/04/2022
    The FCA Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy.

  9. Statement regarding Swift Trade Court of Appeal Judgment

    Statements Published: 19/12/2013 Last modified: 04/11/2014
    Update – A Final Notice for Swift Trade was issued on 24 January 2014. ... The FSA published its Decision Notice against Swift Trade on 31 August 2011.

  10. Apply to approve an individual or firm

    Tasks for firms Published: 12/05/2015 Last modified: 27/04/2023
    Find out what you need to know before submitting your application.
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