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Showing 331 to 340 of 358 search results for net short position.
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Financial Conduct Authority unveils successful sandbox firms on the second anniversary of Project Innovate
The Financial Conduct Authority (FCA) today marks the second anniversary of Project Innovate by announcing the firms that were successful in their applications to begin testing in the first cohort of the regulatory sandbox. -
Morses Club Limited and Shelby Finance Ltd (trading as Dot Dot Loans) enter administration
Morses Club Limited and its wholly owned subsidiary Shelby Finance Ltd (trading as Dot Dot Loans) have entered administration. -
Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money
The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in -
Finalised Guidance: Mortgages and coronavirus: updated Tailored Support Guidance for firms
This guidance applies in the exceptional circumstances arising out of the coronavirus (Covid-19) pandemic and its impact on the financial situation of mortgage customers. -
Occasional paper No.40: Time to act: A field experiment on overdraft alerts
As part of the high-cost credit review, the FCA wanted to understand the impact of automatically enrolling customers into just-in-time arranged overdraft alerts and early warning alerts for overdrafts and unpaid items. -
Finalised Guidance: Consumer Credit and coronavirus: updated Tailored Support Guidance for firms
This guidance applies in the exceptional circumstances arising out of the coronavirus (Covid-19) pandemic and its impact on the financial situation of consumer credit customers. -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
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 -
Consumer credit countdown – Review into debt collection practices of payday lenders starts on day one of FCA regulation
The review will look at how high-cost short term lenders treat their customers when they are in difficulty. ... Beyond this review, as part of its regulation of the high cost short term lending sector, from 1 April 2014 the FCA will also:. -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
The failings outlined in this alert are unacceptable and amount to conduct that falls well short of firms’ obligations under our Principles for Businesses and Conduct of Business rules. ... Generally speaking, we found very poor standards of advice. -
Insurance multi-firm review of outcomes monitoring under the Consumer Duty
Our review of insurance firm approaches to monitoring customer outcomes.