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Showing 201 to 210 of 469 search results for interventions.
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Financial promotions data 2021
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 2021 to 31 December 2021. -
Financial promotions quarterly data 2021 Q4
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 2021 Q4. -
Open Enforcement Investigations numbers and types of cases - February 2022
The FCA provides data on open enforcement investigations. -
Beyond disclosure for high-risk investments: slow down and think
This article explores our research into risk warnings, decision points and self-certification, published in January 2021. -
First Supervisory Notice 2022: Falcon Financial Solutions Ltd [pdf]
The Authority has decided to vary with immediate effect the Part 4A permission granted to Falcon by removing the following regulated activities: secondary credit broking and agreeing to carry on a regulated activity. The effect of the Variation is -
First Supervisory Notice 2022: Thestral Financial Services Ltd [pdf]
The Authority has decided to vary with immediate effect the registration granted to Thestral to remove the following payment services it provides: services enabling cash to be placed on a payment account as well as all the operations required for -
First Supervisory Notice 2021: Morgan Ingram Associates Limited [pdf]
This first supervisory notice concerns the FCA’s use of its power of intervention in respect of the firm terminating its relationships with the following Appointed Representatives (“ARs”) under their respective AR agreements. -
To certify or not to certify: decision points in the self-certification process [pdf]
We looked at the current self-certification process with high-risk investments and tested interventions to improve this. -
Research Notes: Improving outcomes for consumers considering investing in high-risk investments
We've published 3 Research Notes on behavioural interventions we tested to improve outcomes for consumers considering investing in high-risk investments. -
First Supervisory Notice 2021: Probitas Fidelis Limited [pdf]
For the reasons given in this notice, and pursuant to regulation 12(1) of the PSR, the Authority has decided to vary the authorisation granted to Probitas by imposing with immediate effect the following requirements.