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Showing 91 to 100 of 115 search results for notify the FCA of a net short position.
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The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
Listening up to level up – regulating finance for the whole of the UK
Speech by Charles Randell, Chair of the FCA, at the Centre for Commercial Law Studies, Queen Mary University of London. -
Enhancing the UK’s capital markets – The FCA’s role and priorities
Speech by Sarah Pritchard, Executive Director, Markets, to City & Financial Global’s The Future of UK Financial Regulation Summit. -
The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator
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 -
FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings
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 -
Occasional Paper No. 28: Preventing financial distress by predicting unaffordable consumer credit agreements: An applied framework
In this paper, we provide theoretical and practical evidence to help develop more effective affordability rules. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
Latest news and FAQs for CF Arch cru investors
Investors in the CF Arch cru funds can get their adviser to review the way the investment was sold, to see if they are entitled to compensation -
MLA F: Mortgage lending - arrears analysis FAQs
MLA F: Mortgage lending - arrears analysis FAQs -
Financial Conduct Authority outlines how it would use the temporary transitional power
The FCA has set out how it would use the temporary transitional power in the event the UK leaves the EU without an agreement.