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CP13/9: Quarterly Consultation Paper No. 2
defer the date that rules around the provision of fund information to investors through nominees come into force;. -
2019 Global AML and Financial Crime TechSprint
In July 2019, the FCA held a week-long Global Anti-Money Laundering and Financial Crime TechSprint to attempt to find better ways of increasing the detection and prevention rates of financial crime. -
Occasional Paper No. 24: Behaviour and compliance in organisations
This paper discusses the factors that influence effective compliance and provides suggestions for how regulators and firms can improve levels of compliance. -
Defined benefit pension transfers – market-wide data results
Collected data from firms on the size and value of the Defined Benefit (DB) pension advice market. -
The FCA welcomes the Secondary Capital Raising Review Report
FCA welcomes the publication of the Capital Raising Review final report, commissioned by the Government in October 2021. -
Three arrested in FCA boiler room investigation
Because the people selling shares through boiler rooms do not have permission from the FCA to do so, boiler room scams constitute unauthorised business. -
Leaving SRO or CRO
Find out how to cancel a temporary permission if your firm is in the TPR or SRO. -
FCA authorises first Long Term Asset Fund
The Financial Conduct Authority (FCA) has authorised the first Long Term Asset Fund (LTAF). -
Personal data and FCA news, events and groups
Find out how and why the FCA uses personal data to communicate FCA news and events, including its newsletters. -
Viola Money (Europe) Limited enters administration
A special administration order was made by the Court regarding Viola under the Payment and Electronic Money Institution Insolvency Regulations 2021