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Showing 1301 to 1310 of 1609 search results for short position.

  1. PS19/21: Retirement Outcomes Review: feedback on CP19/5 and our final rules and guidance

    Policy statements Published: 30/07/2019 Last modified: 12/01/2023
    PS19/21: Retirement Outcomes Review: feedback on CP19/5 and our final rules and guidance

  2. Enhanced Due Diligence for High-risk Customers

    Tasks for regulated firms Published: 22/02/2016 Last modified: 21/02/2023
    Money Laundering Regulations stipulate that enhanced due diligence be carried out for all higher-risk situations. Learn about Politically Exposed Persons and anti-money laundering laws.

  3. Alex Hope Sentenced to 16 months’ imprisonment for Perverting the Course of Justice

    Press Releases Published: 23/03/2018 Last modified: 23/03/2018
    Today at Southwark Crown Court Alex Hope was sentenced to 16 months’ imprisonment for perverting the course of justice. The charge related to his conduct following the imposition of a restraint order in 2012 and a confiscation order in 2016

  4. FCA statement regarding potential enforcement action against Link Fund Solutions Ltd

    Statements Published: 21/09/2022 Last modified: 21/09/2022
    This follows an announcement made on 21 September by Link Group to the Australian Securities Exchange.

  5. Senior Managers and Certification Regime Banking Stocktake Report

    Multi-firm reviews Published: 05/08/2019 Last modified: 05/08/2019
    The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016.

  6. FCA proposes temporary financial relief for customers impacted by coronavirus

    Press Releases Published: 02/04/2020 Last modified: 03/04/2020
    The FCA proposes targeted temporary measures to support users of certain consumer credit products who are facing a financial impact because of the coronavirus situation.

  7. FCA publishes Decision Notice against former Worldspreads CEO for market misconduct

    Press Releases Published: 03/07/2020 Last modified: 03/07/2020
    The Financial Conduct Authority (FCA) has today published a Decision Notice in respect of Conor Foley, the former Chief Executive Officer of Worldspreads, fining him £658,900 for market abuse and banning him from performing any roles linked to

  8. TR15/12: Wealth management firms and private banks: suitability of investment portfolios

    Thematic reviews Published: 09/12/2015 Last modified: 13/10/2016
    an inability to demonstrate suitability, for example because of absence of up-to-date customer information, inadequate risk profiling, or failure to record customers’ financial position and/or their investment knowledge

  9. We consult on changes to redress calculations for unsuitable pension transfer advice

    News stories Published: 02/08/2022 Last modified: 13/09/2022
    We have today published a consultation proposing updates to how redress is calculated for unsuitable defined benefit transfers advice, following a periodic review.

  10. Information on solo regulated firms that provide customer credit - December 2021

    FOI Release Date of Release: 13/12/2021
    The FCA provides a list of solo regulated firms in the UK that provide any form of customer credit.
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