Publications

Showing 4791 to 4800 of 18814 search results.

4791. Notice of Decision 2023: The Watercooler Warehouse Limited [pdf]

      Decision notices

      Published: 29/09/2023

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

4792. Notice of Decision 2023: Total Redress Services Ltd [pdf]

      Decision notices

      Published: 29/09/2023

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

4793. Notice of Decision 2023: Tusk Capital Management Limited [pdf]

      Decision notices

      Published: 29/09/2023

      This Notice of Decision (Tusk Capital Management Limited) refers to a failure to carry on regulated activities. We imposed a cancellation.

4794. Information on thematic review of retirement income advice - September 2023

      FOI releases

      Published: 29/09/2023

      Last modified: 01/01/2025

      FCA provides information on thematic review of retirement income advice.

4795. Decision Notice 2023: Darren Antony Reynolds [pdf]

      Decision notices

      Published: 28/09/2023

      This Decision Notice (Darren Antony Reynolds) refers to breaches of APER 1 and FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty and prohibition should be

4796. Final Notice 2023: Andrew John Deeney [pdf]

      Final notices

      Published: 28/09/2023

      This Final Notice (Andrew John Deeney) refers to breaches of APER 1 related to the provision of unsuitable defined benefit pension transfer advice in the pensions and investments sector. We imposed a financial penalty and prohibition.

4797. Our supervision strategy for corporate finance firms: portfolio letter [pdf]

      Portfolio letters

      Published: 28/09/2023

      Letter outlines harms to consumers and markets the FCA thinks are most likely to arise from corporate finance firms' business models.

4798. Our platforms supervision strategy: portfolio letter [pdf]

      Portfolio letters

      Published: 28/09/2023

      Update on FCA's view of key harms in this sector, its expectations and a summary of the work it intends to do.

4799. Improving the Appointed Representatives regime through greater use of data

      Data

      Published: 28/09/2023

      Last modified: 03/10/2023

      This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and

4800. CP23/21: Consumer Credit – Product Sales Data Reporting [pdf]

      Consultation papers

      Published: 27/09/2023

      This Consultation Paper seeks views on our proposal to introduce 3 new Product Sales Data (PSD) returns into Chapter 16 of the Supervision manual (SUP 16).