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Showing 4531 to 4540 of 4723 search results for final notice refers.
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FCA fines Chase de Vere for failures surrounding sale of Keydata Products
The final notice for Chase de Vere Independent Financial Advisers Limited. -
FCA bans Lee Morgan for British Steel Pension Scheme advice failings
The FCA has banned Denis Lee Morgan of Pembrokeshire Mortgage Centre Limited (in liquidation) (PMC) from advising any customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. -
FCA consults on new guidance on variation terms under unfair terms legislation
The Financial Conduct Authority (FCA) is consulting on new guidance outlining factors financial services firms should consider under the Consumer Rights Act 2015 (CRA) when drafting and reviewing variation terms in their consumer contracts. The CRA -
Ex post Impact Evaluation Framework – Feedback Statement
This feedback statement summarises views received from our stakeholders after the publication of a discussion paper in April 2018, and our responses to them. -
CP13/11: Financial Services Compensation Scheme - unincorporated associations and partnerships
In this Consultation Paper (CP) we propose that all unincorporated associations and certain large partnerships will become eligible to claim on the Financial Services Compensation Scheme (FSCS) if an investment firm fails. -
FCA proposes permanent measures for retail CFDs and binary options
The Financial Conduct Authority (FCA) is proposing rules to address harm to retail consumers from the sale of certain complex derivative products with the publication of two consultation papers. -
FCA confirms measures to raise standards in the funeral plans market
To enhance consumer protection in the funeral plans market, the FCA has confirmed the rules funeral plan providers will have to follow when they come under regulation from 29 July 2022. -
PS13/9 Publishing information about enforcement warning notices
We are setting out our policy for publishing information about enforcement warning notices, and responding to the feedback to our consultation. -
FCA statement on the Opinion of ESMA on our final rules for CFDs and CFD-like options
This notice sets out the FCA's reasons for acting contrary to the European Securities and Markets Authority’s (ESMA) Opinion of our national product intervention measures restricting how CFDs and CFD-like options are sold to retail -
FSA fines Nestor Healthcare Group £175,000 for clearance to deal failings
The Financial Services Authority (FSA) has fined Nestor Healthcare Group Limited (Nestor) £175,000 for failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s