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Showing 611 to 620 of 747 search results for reasons set out in this Final Notice.
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Market Force and the Chartered Institute’s Nicholas Barbon Lectures
Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London -
Primary Market Bulletin Issue No. 30
In this special edition, we publish general news and information, including changes to our Knowledge Base. -
FCA censures Lighthouse Advisory Services Limited for serious failings in relation to the British Steel Pension Scheme and £23m paid out in redress
The Financial Conduct Authority (FCA) has censured Lighthouse Advisory Services Limited for the unsuitable advice given during the period 1 April 2015 to 30 April 2019 to people looking to transfer out of defined benefit pension schemes, including -
FCA penalises Al Rayan Bank PLC for anti-money laundering failures
We have fined Al Rayan Bank for failing to put in place adequate anti-money laundering (AML) controls. -
FCA fines Reckitt Benckiser £539,800 for listing rule failures
This contributed to late and incomplete disclosure to the market of share dealings by two senior executives. ... The Final Notice for Reckitt Benckiser Group. -
Andrew Bailey speech on Free Trade in Financial Services matters
Speech by Andrew Bailey, Chief Executive of the FCA, at the Official Monetary and Financial Institutions Forum Lecture - Free Trade in Financial Services matters -
CP23/33: Consultation on payments to data providers and DRSP forms including Policy Statement for the framework for UK consolidated tape (CP23/15)
A policy statement with final rules for a consolidated tape for bonds following on from the consultation on CP 23/15. -
FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime
The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has -
Calibrating controls to build confident markets
Speech by Sarah Pritchard, Executive Director of Markets and International at the Financial Crime Summit 2023 by 1LoD. -
Improving the consumer experience
Speech by Christopher Woolard, Director of Policy, Risk & Research at the FCA, to the Tax Incentivised Savings Association (TISA) Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.