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Showing 501 to 510 of 747 search results for reasons set out in this Final Notice.

  1. Assessing the value of financial advice

    Speeches Published: 04/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London.

  2. Nothing to fear from high standards

    Speeches Published: 16/03/2015 Last modified: 03/11/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

  3. FCA fines and prohibits trader for market abuse

    Press Releases Published: 04/03/2021 Last modified: 04/03/2021
    The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity.

  4. The FCA fines Tullett Prebon £15.4 million

    Press Releases Published: 11/10/2019 Last modified: 11/10/2019
    The Financial Conduct Authority (FCA) has fined Tullett Prebon (Europe) Limited (Tullett Prebon) £15.4 million for failing to conduct its business with due skill, care and diligence, failing to have adequate risk management systems and for failing

  5. Speech: New thinking in regulatory economics

    Insight Published: 23/03/2017 Last modified: 23/03/2017
    There are at least three powerful reasons for this. One reason is that to set a ‘benevolently paternalistic’ default, we need to know what the ‘right’ default is. ... Under this analysis, there is a case for revisiting the CAT standards set by

  6. Accountability, from debate to reality

    Speeches Published: 14/07/2015 Last modified: 19/04/2016
    Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Payment Services Regulations 2017 and Electronic Money Regulations 2011

    Tasks for firms Published: 21/10/2015 Last modified: 14/08/2023
    The FCA provides information on the regulation of payment services and e-money, including who is affected by the rules.

  8. Statement regarding Swift Trade Court of Appeal Judgment

    Statements Published: 19/12/2013 Last modified: 04/11/2014
    Update – A Final Notice for Swift Trade was issued on 24 January 2014. ... The FSA published its Decision Notice against Swift Trade on 31 August 2011.

  9. UK EMIR news

    Markets policy Published: 22/05/2016 Last modified: 12/07/2024
    Read our archive of news relating to EMIR dating back to August 2013.

  10. Relending by high-cost lenders

    Firms Multi-firm reviews Published: 06/08/2020 Last modified: 07/08/2020
    This report sets out our review findings of relending by firms in the high-cost lenders portfolio.