Publications

Showing 5281 to 5290 of 18810 search results.

5281. Consumer Duty: Findings from our review of fair value frameworks

      Good and poor practice

      Published: 10/05/2023

      Last modified: 03/12/2025

      Read the findings of our review into firms’ approaches to fair value assessments under the Consumer Duty.

5282. Decision Notice 2023: Vladimir Bolelyy [pdf]

      Decision notices

      Published: 05/05/2023

      This Decision Notice (Vladimir Bolelyy) refers to breach of Conduct Rule 1 (COCON 2.1.1R) related to failing to act with integrity in the private banking sector. Our view is that a financial penalty of £14,200 and prohibition should be imposed.

5283. Decision Notice 2023: Edmund Lloyd Rowland [pdf]

      Decision notices

      Published: 05/05/2023

      This Decision (Edmund Lloyd Rowland) Notice refers to breach of Conduct Rule 1 (COCON 2.1.1R) related to failing to act with integrity in the private banking sector. Our view is that a financial penalty of £352,000 and prohibition should be imposed.

5284. Decision Notice 2023: David Edward Weller [pdf]

      Decision notices

      Published: 05/05/2023

      This Decision Notice (David Edward Weller) refers to breach of Conduct Rule 1 (COCON 2.1.1R) related to failing to act with integrity in the private banking sector. Our view is that a financial penalty of £54,000 and prohibition should be imposed.

5285. Decision Notice 2023: Banque Havilland SA [pdf]

      Decision notices

      Published: 05/05/2023

      This Decision Notice (Banque Havilland SA) refers to breach of Principle 1 related to failing to conduct its business with integrity in the private banking sector. Our view is that a financial penalty of £10,000,000 should be imposed.

5286. Financial promotions quarterly data 2023 Q1

      Data

      Published: 05/05/2023

      Last modified: 04/08/2023

      We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2023 to 31 March 2023 .

5287. Final Notice 2023: Sussex Urban Motor Company ltd [pdf]

      Final notices

      Published: 05/05/2023

      This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the Consumer Credit sector. We refused the firm’s application for authorisation.

5288. Whistleblowing quarterly data 2022 Q4

      Data

      Published: 04/05/2023

      Last modified: 04/05/2023

      Our data shows the number of new whistleblowing reports the FCA received in October to December 2022 and the allegations they featured.

5289. Whistleblowing qualitative assessment survey 2022

      Data

      Published: 04/05/2023

      Last modified: 04/05/2023

      This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to

5290. First Supervisory Notice 2023: Monneo Ltd [pdf]

      Supervisory notices

      Published: 04/05/2023

      For the reasons given in this First Supervisory Notice, the FCA has decided to vary the authorisation granted to Monneo by imposing the following requirements on the firm with immediate effect.