Publications

Showing 4761 to 4770 of 18806 search results.

4761. Whistleblowing quarterly data 2023 Q2

      Data

      Published: 13/10/2023

      Last modified: 13/10/2023

      The data shows the number of new whistleblowing reports the FCA received in April and June 2023 and the allegations they featured.

4762. First Supervisory Notice 2023: IBP Markets Limited [pdf]

      Supervisory notices

      Published: 13/10/2023

      On 15 September 2023, we imposed a number of restrictions on IBP Markets Limited stopping it from carrying on any regulated activities due to concerns about the way it conducts its business, including about client money protections at the firm.

4763. Notice of Decision 2023: K L S (UK) LTD [pdf]

      Decision notices

      Published: 13/10/2023

      The Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.    

4764. Decision Notice 2023: James Edward Staley [pdf]

      Decision notices

      Published: 12/10/2023

      This Decision Notice refers to breaches of the Senior Management Conduct Rules and Individual Conduct Rules relating to integrity and the disclosure of information to and relations with regulators. We have issued a Decision Notice seeking to impose

4765. Final Notice 2023: London Capital & Finance plc (in administration) [pdf]

      Final notices

      Published: 11/10/2023

      This Final Notice refers to breaches of CoBS related to financial promotions in the Issuer sector. We imposed a public censure.

4766. Notice of Decision 2023: Brennan Automotive's Ltd [pdf]

      Decision notices

      Published: 10/10/2023

      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

4767. NewRulesforhighriskinvestmentsvideo.mp4 [mp4]

      Published: 09/10/2023

4768. New-rules-for-high-risk-investments-transcript.pdf [pdf]

      Published: 09/10/2023

      New rules for high-risk investments transcript

4769. New-rules-for-high-risk-investments-transcript.docx [docx]

      Published: 09/10/2023

      New rules for high-risk investments video transcript

4770. Final Notice 2023: Wellington Court Financial Services Limited [pdf]

      Final notices

      Published: 06/10/2023

      This final notice (Wellington Court Financial Services Limited) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation.