Publications
Search results
Showing 5811 to 5820 of 18811 search results.
-
Whistleblowing quarterly data 2022 Q2
Our data shows the number of new whistleblowing reports the FCA received in April to June 2022 and the allegations they featured. -
Final Notice 2022: Simon Tyson [pdf]
This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty -
FCA response to Complaint's Commisioneer's Report FCA001677 [pdf]
The FCA response to Complaint's Commissioner's Report FCA001677 -
The FCA response to Complaint's Commissioner's Report FCA001707 [pdf]
The FCA response to Complaint's Commissioner's Report FCA001707 -
Final Notice 2022: Stephen John Tomlin [pdf]
This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article -
Final Notice 2022: Matthew Charles Kent [pdf]
This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial -
Final Notice 2022: Sigma Broking Limited [pdf]
This Final Notice (Sigma Broking Limited) refers to breaches of SUP 17, SUP 15, PRIN 3 and Article 16 of MAR related to market abuse and transaction reporting failures in the trading firm sector. We imposed a financial penalty. -
FCA letter to Department for Work and Pensions (DWP) on TPSVI actions [pdf]
FCA’s response to the Taskforce on Pension Scheme Voting Implementation’s (TPSVI) report and recommendations. -
Notification of entry into supervised run-off following cancellation of a temporary permission [docx]
Firms that previously passported into the UK under Schedule 3 or Schedule 4 to FSMA and were in the Temporary Permissions Regime. -
Final Notice 2022: Empire Motor Group Ltd [pdf]
This final notice (Empire Motor Group Ltd) refers to a failure to satisfy threshold conditions (COND) in the credit broking sector. We refused the firm’s application for authorisation.