Search results

Showing 291 to 300 of 305 search results for its net short position.

291. Further guidance on enhancing resilience in Liability Driven Investment

     Multi-firm reviews Published: 24/04/2023 Last modified: 24/04/2023
     The FCA contacted asset managers as they enhance their resilience and review the vulnerabilities they experienced. This publication shares guidance and recommendations for LDI managers.

292. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

     Press Releases Published: 08/08/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

293. Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness

     Speeches Published: 14/03/2024 Last modified: 14/03/2024
     Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference.

294. Financial Lives January 2023: Consumer experience of the rising cost of living – the burden of bills and ways to get support

     Financial Lives Published: 17/05/2023 Last modified: 26/07/2023
     The FCA are providing selected statistics in this research note from its Financial Lives cost of living (Jan 2023) recontact survey, to give an insight into the financial situation UK adults experienced over the 6 months to January 2023.

295. Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling

     Press Releases Published: 05/11/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted

296. Occasional Paper No. 16: Are high-frequency traders anticipating the order flow? Cross-venue evidence from the UK market

     Occasional papers Published: 15/04/2016 Last modified: 02/09/2016
     As all the trading venues are within a few miles of each other, in the vicinity of London, it takes a very short time for messages to go from one venue ... While they may not necessarily represent the position of the FCA, they are one source of evidence

297. Occasional Paper No. 41: Price discrimination in the cash savings market: One rate, one solution?

     Occasional papers Published: 25/07/2018 Last modified: 09/01/2020
     The Cash Savings Market Study found that the cash savings market is not working effectively for many consumers. Significant amounts of easy access cash savings sit in accounts that were opened a long time ago, earning lower interest rates than those

298. FCA fines Pembrokeshire Mortgage Centre Ltd £2.4m for serious failings in relation to the British Steel Pension Scheme

     Press Releases Published: 02/12/2022 Last modified: 02/12/2022
     The FCA has fined Pembrokeshire Mortgage Centre Limited (PMC) (trading as County Financial Consultants) (in liquidation) £2,354,331 for giving consumers unsuitable advice to transfer out of the British Steel Pension Scheme and other defined benefit

299. Occasional Paper No. 45: The semblance of success in nudging consumers to pay down credit card debt

     Occasional papers Published: 26/07/2018 Last modified: 20/10/2020
     In this study we study consumer responses to a randomised field experiment on credit card debt repayment.

300. Capita Financial Managers to pay up to £66 million for the benefit of investors in the Connaught Income Fund, Series 1

     Press Releases Published: 10/11/2017 Last modified: 10/11/2017
     The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered loss as a result of investing in the Guaranteed Low Risk