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Final Notice 2017: Steven Brady [pdf]
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. -
Final Notice 2017: Jake Vickers [pdf]
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. -
Final Notice 2017: Andrew Maher [pdf]
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. -
Final Notice 2017: Alan Swift [pdf]
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. -
Final Notice 2017: Lyndon Alun Davies [pdf]
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. -
CP17/6: Quarterly Consultation Paper No. 16 [pdf]
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals. -
Final Notice 2017: Juceff & Co Trading Limited [pdf]
This final notice refers to breaches of COND and PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
CP17/6: Quarterly Consultation Paper No. 16
CP17/6: Quarterly Consultation Paper No. 16. Consultation papers First published:. 03/03/2017. Last updated: 15/05/2017. We are proposing to make changes to:. DEPP and EG reflecting the FCA’s powers following the Bank Recovery and Resolution Order -
Investment managers still failing to ensure effective oversight of best execution
We outline findings from supervisory work looking at how investment managers deliver best execution for their clients. -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015.