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Showing 551 to 560 of 684 search results for mifid ii.

551. Cases the FCA has prosecuted for fraud - February 2021

     FOI Release Date of Release: 02/02/2021
     The FCA provides figures The figures for cases that the Unauthorised Business Department have prosecuted for fraud.

552. Information on enforcement investigations under SMR - June 2022

     FOI Release Date of Release: 06/06/2022
     The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime.

553. First supervisory notice 2020: Rodeler Ltd [pdf]

     Supervisory notices Published: 01/06/2020
     This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing

554. First Supervisory Notice 2022: Semantic Business Ltd [pdf]

     Supervisory notices Published: 11/04/2022
     For the reasons given in this First Supervisory Notice, and pursuant to sections 55J(2)(a)(ii) of the Act, the Authority has decided to vary with immediate effect the Part 4A permission granted to Semantic by removing the following regulated

555. CP15/42: Quarterly Consultation Paper No. 11

     Consultation papers Published: 04/12/2015 Last modified: 17/12/2015
     make consequential changes to the Handbook for Solvency II and non-Directive firms.

556. Alliance Trust Investment Bank PLC (clone of FCA authorised firm)

     Warnings Published: 05/11/2010 Last modified: 21/11/2020
     Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'.

557. Information on FCA enforcement investigations - October 2021

     FOI Release Date of Release: 26/10/2021
     The FCA provides data on open FCA enforcement investigations.

558. FCA proposes new measures to encourage effective stewardship

     News stories Published: 30/01/2019 Last modified: 30/01/2019
     The FCA is proposing new measures and gathering views on how to encourage effective stewardship in the interests of investors. Most UK consumers hold investments, for example through their pensions, which are looked after by asset managers. Asset

559. FCA sets out forbearance measures for investment company cost disclosure

     News stories Published: 30/11/2023 Last modified: 30/11/2023
     We set out temporary measures to give investment companies greater ability to explain their costs and charges to help consumers make better informed investment decisions. 

560. Consumer Investments: Strategy and Feedback Statement

     Corporate documents Published: 14/09/2021 Last modified: 15/06/2023
     The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this.