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Showing 1361 to 1370 of 1609 search results for short position.

  1. FCA bans Lee Morgan for British Steel Pension Scheme advice failings

    Press Releases Published: 28/06/2023 Last modified: 28/06/2023
    The FCA has banned Denis Lee Morgan of Pembrokeshire Mortgage Centre Limited (in liquidation) (PMC) from advising any customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. 

  2. The art of thinking independently together – why the regulator cares about diversity

    Speeches Published: 30/10/2017 Last modified: 30/10/2017
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the LGBT in the Financial Services Industry Summit.

  3. Occasional Paper No. 14: Liquidity in the UK corporate bond market: evidence from trade data

    Occasional papers Published: 17/03/2016 Last modified: 02/09/2016
    While they may not necessarily represent the position of the FCA, they are one source of evidence that the FCA may use while discharging its functions and to inform its views.

  4. Information on retirement income market data 2019/20 release - November 2020

    FOI Release Date of Release: 10/11/2020
    FCA provides information on aggregated retirement income stock data to March 2020.

  5. Securitisation Regulation: PRA and FCA joint statement on reporting of private securitisations

    Statements Published: 20/12/2018 Last modified: 20/12/2018
    This statement sets out how the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) propose to direct the manner in which firms must make information regarding ‘private’ securitisations available to their UK competent

  6. FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes

    Press Releases Published: 16/08/2013 Last modified: 17/09/2013
    After conducting full investigations, the FCA found that Leslie and Bennett failed to exercise due skill, care and diligence in their positions.

  7. PS21/20: Changes to UK MiFID’s conduct and organisational requirements

    Policy statements Published: 30/11/2021 Last modified: 30/11/2021
    We set out our final policy position and rules on changes to the research rules and removal of best execution reporting in RTS 27 and RTS 28 following feedback to CP21/9.

  8. Occasional Paper No. 52: Bond liquidity and dealer inventories

    Occasional papers Published: 11/02/2020 Last modified: 11/02/2020
    Liquidity in global bond markets is a key concern following the financial crisis. Can utilising data across jurisdictions shed some light?

  9. Occasional Paper No. 22: Price discrimination and cross-subsidy in financial services

    Occasional papers Published: 21/09/2016 Last modified: 06/03/2017
    While they may not necessarily represent the position of the FCA, they are one source of evidence that the FCA may use while discharging its functions and to inform its views.

  10. Financial Lives 2022 survey: insights on vulnerability and financial resilience relevant to the rising cost of living

    Data Published: 20/10/2022 Last modified: 26/07/2023
    The FCA presents early data, from its latest Financial Lives survey, on vulnerability and financial resilience, and insights into the financial positions of UK consumers in May 2022. This data contributes to the evidence base on the rising cost of
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