Publications

Showing 12211 to 12220 of 18851 search results.

12211. Final Notice 2017: Waterside Vehicles Ltd [pdf]

       Final notices

       Published: 10/04/2017

       This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

12212. DP17/3: Discussion Paper on distributed ledger technology [pdf]

       Discussion papers

       Published: 10/04/2017

       We are launching a discussion to start a dialogue on the potential for future development of distributed ledger technology (DLT) in the markets we regulate.

12213. Final Notice 2017: New Born Electronic's Limited [pdf]

       Final notices

       Published: 10/04/2017

       This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

12214. Final Notice 2017: Brooke Specialist Cars Ltd [pdf]

       Final notices

       Published: 10/04/2017

       This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

12215. Final Notice 2017: Collins Ward Capital Management Ltd [pdf]

       Final notices

       Published: 10/04/2017

       This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the wealth management and private banking sector. We imposed a cancellation.

12216. FS17/4: Distributed ledger technology

       Feedback statements

       Published: 10/04/2017

       Last modified: 15/12/2017

       In April 2017 we published Discussion Paper DP17/3 to start a dialogue on the potential for future development of distributed ledger technology (DLT) in the markets we regulate. We are now publishing a Feedback Statement that summarises the feedback

12217. Final Notice 2017: Lukhvir Thind [pdf]

       Final notices

       Published: 07/04/2017

       This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

12218. Final Notice 2017: Niall O’Kelly [pdf]

       Final notices

       Published: 07/04/2017

       This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition.

12219. Financial Advice Market Review: progress report [pdf]

       Corporate documents

       Published: 05/04/2017

       This publication from the FCA and HM Treasury details the progress made towards implementing the FAMR recommendations from the final report.

12220. Final Notice 2017: Gareth McCrone [pdf]

       Final notices

       Published: 03/04/2017

       This final notice refers to breaches of PRIN related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.