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Showing 431 to 440 of 448 search results for published Primary Market Bulletin.

  1. Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins

    Press Releases Published: 18/09/2015 Last modified: 09/12/2016
    Press Releases First published:. 18/09/2015. Last updated: 09/12/2016. Share page. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.

  2. TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets

    Thematic reviews Published: 21/07/2016 Last modified: 15/11/2016
    TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets. ... Thematic reviews First published:. 21/07/2016. Last updated: 15/11/2016. Share page.

  3. The FCA and the Bank of England encourage market participants in a switch to SONIA in the sterling exchange traded derivatives market from 17 June

    Statements Published: 13/05/2021 Last modified: 13/05/2021
    FCA and the Bank of England encourage exchange traded derivatives market participants move to SONIA.

  4. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

    Press Releases Published: 03/10/2013 Last modified: 07/02/2022
    he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

  5. FCA response to FSB’s Super-Complaint - requiring personal guarantees for business loans

    Corporate documents Published: 05/03/2024 Last modified: 05/03/2024
    On 08 December 2023, we received a super-complaint from the Federation of Small Businesses (FSB). This is the first super-complaint we have received since the super-complaint regime was applied to the FCA in 2013.

  6. Occasional Paper No. 3: How does selling insurance as an add-on affect consumer decisions?

    Occasional papers Published: 25/03/2014 Last modified: 25/03/2014
    Occasional papers First published:. 25/03/2014. Last updated: 25/03/2014. Share page. ... It finds that these experiments have an important role to play, often providing insights into the way markets work that may not be possible to obtain otherwise.

  7. Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money

    Press Releases Published: 09/10/2014 Last modified: 29/11/2021
    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

  8. FG19/05: General insurance distribution chain: Finalised guidance for insurance product manufacturers and distributors

    Finalised guidance Published: 19/11/2019 Last modified: 12/10/2021
    FG19/5: This guidance gives further clarity on our expectations of firms in the GI and pure protection sector. In particular, how firms should consider the value that the product and distribution arrangements present to the customer.

  9. The FCA’s approach to supervising wealth management and private banking firms

    Speeches Published: 02/07/2013 Last modified: 18/07/2013
    Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation

    Speeches Published: 14/11/2014 Last modified: 20/10/2015
    in markets where customer service does not seem to be an important consideration) despite quoting prices that aren’t market leading. ... In other words, instead of relying on intuition and guesswork, we combine trials, behavioural economics, and