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Showing 11 to 20 of 31 search results for into firms failing to notify the FCA of a net short position.

  1. Primary Market Bulletin 32

    Newsletters Published: 03/12/2020 Last modified: 03/12/2020
    Welcome to the 32nd edition of the Primary Market Bulletin (PMB)

  2. Primary Markets enforcement outcomes

    Published: 18/02/2021 Last modified: 07/11/2023
    A list of recent Primary Markets enforcement outcomes.

  3. The Financial Resilience Survey data

    Data Published: 04/04/2024 Last modified: 04/04/2024
    The FCA presents the results of the final Financial Resilience Survey issued in October 2023.

  4. UK EMIR reporting questions and answers

    Published: 02/05/2024 Last modified: 13/06/2024
    Guidance for reporting under the revised UK EMIR Article 9 reporting requirements.

  5. Brexit countdown for UK financial services sector

    Press Releases Published: 24/12/2020 Last modified: 24/12/2020
    With one week to go until the end of the Brexit transition period, the FCA is urging financial services companies to ensure they are ready

  6. Primary Market Bulletin 42

    Newsletters Published: 12/12/2022 Last modified: 12/12/2022
    In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers.

  7. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

    Press Releases Published: 12/10/2016 Last modified: 12/10/2016
    The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

  8. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

    Press Releases Published: 11/08/2015 Last modified: 12/01/2023
    The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that

  9. Next steps in transition from LIBOR

    Speeches Published: 21/11/2019 Last modified: 21/11/2019
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the Risk.net LIBOR Summit, 2019.

  10. Chairman's speech to the Trust in Banking Conference

    Speeches Published: 20/10/2015 Last modified: 22/10/2015
    Speech by John Griffith Jones, Chairman, FCA, delivered at the Trust in Banking Conference, organised by Cambridge Judge Executive Education at the London Stock Exchange. This is the text of the speech as drafted, which may differ from the delivered