Publications

Showing 151 to 160 of 469 search results for interventions.

151. IFPR implementation observations: quantifying threshold requirements and managing financial resources

     Multi-firm reviews

     Published: 27/02/2023

     Last modified: 09/03/2023

     Firms should consider these and how they can strengthen their processes.

152. First Supervisory Notice 2023: Abbey Lane Financial Associates Limited [pdf]

     Supervisory notices

     Published: 22/02/2023

     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 Abbey Lane Financial

153. First Supervisory Notice 2023: Estate Capital Financial Management Limited [pdf]

     Supervisory notices

     Published: 22/02/2023

     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 Estate Capital Financial

154. First Supervisory Notice 2023: Campbell & Associates Independent Financial Advice Limited [pdf]

     Supervisory notices

     Published: 10/02/2023

     Last modified: 12/06/2023

     For the reasons given 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 Campbell & Associates Independent Financial Advice Limited.

155. Financial promotions data 2022

     Firm and market data

     Published: 03/02/2023

     Last modified: 03/02/2023

     The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for January 2022 to 31 December 2022.

156. Financial promotions quarterly data 2022 Q4

     Data

     Published: 03/02/2023

     Last modified: 05/05/2023

     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 October 2022 to 31 December 2022.

157. Further First Supervisory Notice 2022: Indigo Michael Limited [pdf]

     Supervisory notices

     Published: 03/02/2023

     For the reasons given and pursuant to sections 55L(2)(a), 55L(2)(c) and (3)(b) of the Financial Services and Markets Act 2000, the FCA has decided to vary the requirements imposed on Indigo Michael Limited by a First Supervisory Notice issued on 12

158. First Supervisory Notice 2023: Nexus Independent Financial Advisers Limited & Nexus Investment Managers Limited [pdf]

     Supervisory notices

     Published: 31/01/2023

     For the reasons given in this First Supervisory Notice the FCA has decided to impose requirements (“the on Nexus Independent Financial Advisers Limited (“Nexus IFA”) and Nexus Investment Managers Limited (“Nexus IM”) with immediate effect.

159. First Supervisory Notice 2022: Micro-E C.I.C [pdf]

     Supervisory notices

     Published: 16/01/2023

     For the reasons given in this First Supervisory Notice, and pursuant to section 55L(2)(a) and (3)(a) of the Financial Services and Markets Act 2000, the Financial Conduct Authority has decided to impose the following requirements on Micro-E C.I.C

160. First Supervisory Notice 2022: Pello Capital Limited [pdf]

     Supervisory notices

     Published: 21/12/2022

     Last modified: 23/12/2022

     This First Supervisory Notice refers to breaches of Prin 3, 4 and 11 related to failing demonstrate that Pello Capital Limited has adequate and appropriate systems and controls to effectively manage risks. Failing to maintain adequate financial