Search results
Showing 371 to 380 of 746 search results for reasons set out in this Final Notice.
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Cryptoasset registration: information for applicants
The FCA's requirements and expectations of cryptoasset businesses for AML/CTF regime registration. -
FCA censures Premier FX for payment rule breaches
The FCA has publicly censured Premier FX Limited for failing to safeguard its customers’ money and for misuse of its payment accounts under the Payments Services Regulations. -
Reports about sexual and non-financial misconduct made to the FCA
The FCA responds on the numbers of reports about sexual and non-financial misconduct made to the FCA -
Tribunal upholds FCA fine on firm for misselling complex investments
We consider that the amount of the penalty should be set at a level that both punishes Westwood for the breaches and deters others from similar conduct. ... Westwood’s Decision Notice was issued on 31 May 2011 and Westwood referred the matter to the -
The FCA’s Competition Powers
Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Service standards 2020/21
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2020/21. -
Service standards 2018/19
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2018/19. -
Service standards 2019/20
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2019/20. -
Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum -
Primary Market Bulletin 42
In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers.