Search results
Showing 251 to 260 of 1609 search results for short position.
-
Occasional paper No.40: Time to act: A field experiment on overdraft alerts
As part of the high-cost credit review, the FCA wanted to understand the impact of automatically enrolling customers into just-in-time arranged overdraft alerts and early warning alerts for overdrafts and unpaid items. -
Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money
The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
The failings outlined in this alert are unacceptable and amount to conduct that falls well short of firms’ obligations under our Principles for Businesses and Conduct of Business rules. ... Generally speaking, we found very poor standards of advice. -
Review of TCFD-aligned disclosures by premium listed commercial companies
Following the introduction of a climate-related disclosure rule as a first step to improving the quality and quantity of disclosures across the corporate sector, we outline our preliminary observations and reiterate our expectations. -
Coronavirus and customers in temporary financial difficulty: draft guidance for insurance and premium finance firms
FCA guidance on our expectations for firms when dealing with customers of general insurance and pure protection contracts who may be experiencing temporary financial difficulty because of coronavirus -
Finalised Guidance: Mortgages and coronavirus: updated Tailored Support Guidance for firms
This guidance applies in the exceptional circumstances arising out of the coronavirus (Covid-19) pandemic and its impact on the financial situation of mortgage customers. -
Finalised Guidance: Consumer Credit and coronavirus: updated Tailored Support Guidance for firms
This guidance applies in the exceptional circumstances arising out of the coronavirus (Covid-19) pandemic and its impact on the financial situation of consumer credit customers. -
Coronavirus and customers in temporary financial difficulty: guidance for insurance and premium finance firms
We set out our expectations for firms when considering the fair treatment of existing customers, and in particular customers with temporary financial difficulties due to coronavirus. -
Occasional Paper No. 16: Are high-frequency traders anticipating the order flow? Cross-venue evidence from the UK market
As all the trading venues are within a few miles of each other, in the vicinity of London, it takes a very short time for messages to go from one venue ... While they may not necessarily represent the position of the FCA, they are one source of evidence