Search results
Showing 581 to 590 of 747 search results for reasons set out in this Final Notice.
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Cash savings: Sunlight remedy third report
This is the third report into cash savings account rates under our sunlight remedy, following our first publication in December 2015 and second publication in July 2016. -
The Evolution of the Mortgage Market
This is the text of the speech as drafted, which may differ from the delivered version. ... not undermine this and continues to have the consumer’s best interests in mind. -
FCA fines ARCM £873,118 for breaches of short selling disclosure rules
The Financial Conduct Authority (FCA) has fined Asia Research and Capital Management Ltd (ARCM) £873,118 over transparency failures. The firm failed to notify the FCA and disclose to the public its net short position in Premier Oil Plc built -
FCA issues its first decision under competition law
The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers. -
Tackling the hard questions
Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016. -
Regulatory Decisions Committee (RDC)
The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee. -
J.P. Morgan International Bank fined for systems and controls failings in its wealth management business
The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services. -
FCA bans former RBS LIBOR submitter, Paul White
This ban should reinforce the message that working in financial markets entails obligations and responsibilities and that serious failures will result in substantial penalties including fines and prohibitions.”. ... This is the FCA’s fourth public -
Knowledge Base
The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules. -
FCA publishes Decision Notices against three firms and five individuals for acting without integrity in relation to their pension advice business and misleading the FCA
The Financial Conduct Authority (FCA) has today published Decision Notices in respect of three firms (Financial Page Ltd, Henderson Carter Associates Limited and Bank House Investment Management Limited) and five individuals (Andrew Page, Thomas Ward