Publications

Showing 131 to 140 of 469 search results for interventions.

131. First Supervisory Notice 2023: Alpha Financial Services [pdf]

     Supervisory notices

     Published: 05/06/2023

     For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on Alpha Financial Services with immediate effect.

132. First Supervisory Notice 2023: QED Financial Associates Ltd [pdf]

     Supervisory notices

     Published: 05/06/2023

     For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the FCA has decided to impose the following requirements on QED Financial Associates Ltd with immediate effect.

133. First Supervisory Notice 2023: David Stock & Co Limited [pdf]

     Supervisory notices

     Published: 19/05/2023

     For the reasons given in this First Supervisory Notice, and pursuant to section 55L(3)(a) of the Financial Services and Markets Act 2000, the Financial Conduct Authority has decided to impose the following requirements on David Stock & Co Limited

134. Second Supervisory Notice: Symmetric Systems Limited [pdf]

     Supervisory notices

     Published: 10/05/2023

     For the reasons given in this Notice, the Authority has decided not to rescind the Requirements set out below at paragraph 1.3 which were imposed on Symmetric Systems Limited, trading as Bank-Smart, and notified to it in the First Supervisory Notice

135. 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 .

136. 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.

137. 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

138. Further guidance on enhancing resilience in Liability Driven Investment

     Multi-firm reviews

     Published: 24/04/2023

     Last modified: 24/04/2023

     The FCA contacted asset managers as they enhance their resilience and review the vulnerabilities they experienced. This publication shares guidance and recommendations for LDI managers.

139. Multi-occupancy buildings insurance – broker remuneration

     Multi-firm reviews

     Published: 21/04/2023

     Last modified: 03/12/2025

     Read the findings of our multi-occupancy buildings insurance broker remuneration review.

140. First Supervisory Notice 2023: CFS Management Ltd [pdf]

     Supervisory notices

     Published: 20/04/2023

     For the reasons given in this First Supervisory Notice, the Financial Conduct Authority has decided to impose the following conditions on CFS Management Ltd,