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Showing 4321 to 4330 of 4723 search results for final notice refers.

4321. Application to perform a controlled or senior management function: Connect

      Firms Published: 08/06/2016 Last modified: 04/10/2023
      Application to perform a controlled or senior management function

4322. FCA takes action against debt packager firms

      Press Releases Published: 20/07/2021 Last modified: 20/07/2021
      5 firms have stopped providing regulated debt advice until further notice and the FCA has used formal powers to stop another firm from providing regulated advice

4323. The expanding scope of individual accountability for corporate misconduct

      Speeches Published: 03/04/2017 Last modified: 05/04/2017
      Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

4324. The Financial Conduct Authority’s Statement on Payment Protection Insurance (PPI)

      Statements Published: 02/10/2015 Last modified: 18/08/2017
      Our proposals will be subject to a full consultation process and as such what we have set out in this Statement may not represent the final position following that consultation. ... 140A. ‘Alternative redress’ refers to the ‘Alternative approach to

4325. Investigation opening criteria

      About us How we regulate Published: 21/04/2016 Last modified: 27/02/2024
      Factors we consider when deciding to open an investigation, including how we assess serious misconduct.

4326. Cash savings: Sunlight remedy third report

      News stories Published: 01/12/2016 Last modified: 01/12/2016
      This is the third report into cash savings account rates under our sunlight remedy, following our first publication in December 2015 and second publication in July 2016.

4327. FCA issues statement of objections to 3 money transfer firms

      Press Releases Published: 25/01/2023 Last modified: 25/01/2023
      In a statement of objections, the Financial Conduct Authority (FCA) alleges that Dollar East (International Travel & Money Transfer) Ltd, Hafiz Bros Travel & Money Transfer Limited, and LCC Trans-Sending Limited (including its parent company Small

4328. FCA announces plans for stronger nudge towards pension guidance

      News stories Published: 01/12/2021 Last modified: 01/12/2021
      The FCA has today published final rules requiring firms to implement the stronger nudge to Pension Wise guidance.

4329. CP22/09: Expansion of the Dormant Assets scheme

      Consultations Consultation papers Published: 13/05/2022 Last modified: 16/08/2022
      We are consulting on changes to the FCA handbook to reflect the expansion of the Dormant Assets Scheme.

4330. FCA publishes Decision Notice against hedge fund for conflicts of interest failings

      Press Releases Published: 22/12/2021 Last modified: 22/12/2021
      We have published a Decision Notice and a financial penalty of £40.8m against BlueCrest Capital Management (UK) LLP