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Showing 4401 to 4410 of 4723 search results for final notice refers.

  1. The number of withdrawn applications for the CF30 controlled function - March 2020

    FOI Release Date of Release: 03/03/2020
    The FCA provides information on the number of withdrawn applications for the CF30 controlled function in 2017, 2018 and 2019.

  2. Tribunal upholds FCA fine on firm for misselling complex investments

    Press Releases Published: 27/11/2013 Last modified: 17/12/2013
    It remains open to Westwood to appeal the judgment. Update 17/12/2013: Westwood will not appeal the judgment, and the FCA has issued a Final Noticeto Westwood. ... Westwood’s Decision Notice was issued on 31 May 2011 and Westwood referred the matter to

  3. FCA makes Market Investigation Reference for investment consultancy services

    Press Releases Published: 14/09/2017 Last modified: 14/09/2017
    The Financial Conduct Authority (FCA) has today confirmed its final decision to make a Market Investigation Reference (MIR) to the Competition and Markets Authority (CMA) in relation to investment consultancy and fiduciary management services.

  4. Information on suspected orderbook spoofing and/or layering

    FOI Release Date of Release: 31/08/2021
    FCA responds on request for numbers of 'incidents' and 'cases' of suspected orderbook spoofing and/or layering

  5. Critical issues in financial regulation: The FCA's perspective

    Speeches Published: 26/04/2022 Last modified: 28/04/2022
    Speech by our CEO, Nikhil Rathi, delivered at City Week 2022.

  6. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

    Press Releases Published: 30/10/2014 Last modified: 30/10/2014
    In the Final Notice, the FCA finds that Sesame fell short of Principle 8 by failing to properly manage conflicts of interest. ... Previous final notices for Sesame:. Final guidance: Supervising retail investment advice: inducements and conflicts of

  7. Speech: Darwin and an evolution in price discrimination

    Insight Published: 17/03/2016 Last modified: 17/02/2017
    For, in this case too, mark-ups must vary. Cross-subsidy is often used to refer to the distributional consequences of price discrimination. ... An aside. The Competition and Market Authority’s October 2015 remedies notice on banking includes an

  8. FCA bans and fines former insurance broker £140,000

    Press Releases Published: 19/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity.

  9. FCA fines and bans financial adviser for insider dealing

    Press Releases Published: 13/05/2016 Last modified: 13/05/2016
    The final notice for Mark Taylor.

  10. FCA confirms approach to European firms temporarily operating in the UK

    Press Releases Published: 18/01/2022 Last modified: 21/01/2022
    European firms wishing to remain in the temporary permissions regime (TPR) need to meet our standards to continue operating in the UK.
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