Publications

Showing 13971 to 13980 of 18851 search results.

13971. FG15/6: Multilateral Trading Facilities (MTFs) – Dear CEO Letter and FCA Good Practice Observations on MTF Rulebooks [pdf]

       Finalised guidance

       Published: 15/04/2015

       Last modified: 15/04/2015

13972. Final Notice 2015: The Bank of New York Mellon London Branch / The Bank of New York Mellon (International) Ltd [pdf]

       Final notices

       Published: 15/04/2015

       Last modified: 15/04/2015

       This final notice refers to breaches of PRIN 10 and CASS related to client assets in the investment bank sector. We imposed a fine.

13973. FG15/6 - Multilateral Trading Facilities (MTFs)

       Finalised guidance

       Published: 15/04/2015

       Last modified: 15/04/2015

       FG15/6 - Multilateral Trading Facilities (MTFs). Finalised guidance First published:. 15/04/2015. Last updated: 15/04/2015. Share page. On 1 December 2014 we consulted on Guidance Consultation GC14/9 which set out the FCA’s Good Practice

13974. Final Notice 2015: Focus Wealth Management LLP [pdf]

       Final notices

       Published: 14/04/2015

       Last modified: 14/04/2015

       This final notice refers to breaches of Principle 11 and TC related to threshold conditions, failing to be open and co-operative in the investment advisor sector. We imposed a cancellation.

13975. Final Notice 2015: Clydesdale Bank Plc [pdf]

       Final notices

       Published: 14/04/2015

       Last modified: 14/04/2015

       This final notice refers to breaches of PRIN 6 and DISP related to unfair treatment of customers and complaints handling in the retail banks sector. We imposed a fine.

13976. Minutes: FCA Board 25 & 26 February 2015 [pdf]

       Meeting minutes

       Published: 08/04/2015

       Last modified: 08/04/2015

13977. UKLA Technical Note 716.1 - Sponsors: Joint Sponsors – communications with the FCA [pdf]

       Primary market

       Published: 07/04/2015

       Last modified: 07/04/2015

13978. Final Notice 2015: Robert Stephan Addison [pdf]

       Final notices

       Published: 31/03/2015

       Last modified: 31/03/2015

       This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.

13979. Final Notice 2015: Robin Farrell [pdf]

       Final notices

       Published: 31/03/2015

       Last modified: 31/03/2015

       This final notice refers to breaches of APER 1 and APER 7 related to conflicts of interests and lack of fitness/propriety in the investment advisor sector. We imposed a fine, withdrawal and prohibition.

13980. Final Notice 2015: Arch Financial Products LLP [pdf]

       Final notices

       Published: 31/03/2015

       Last modified: 31/03/2015

       This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 8, SYSC and COB related to conflicts of interests in the investment advisor sector. We imposed a public censure.