Publications

Showing 5641 to 5650 of 18806 search results.

5641. Decision Notice 2022: Poojan Sheth [pdf]

      Decision notices

      Published: 07/12/2022

      Last modified: 10/10/2025

      This Decision Notice refers to breaches of Market Abuse Regulations and Financial Services and Markets Act 2000 related to market abuse and market manipulation in the Investment Bank sector. Our view is that a financial penalty and a prohibition

5642. Decision Notice 2022: Diego Urra [pdf]

      Decision notices

      Published: 07/12/2022

      Last modified: 10/10/2025

      This Decision Notice refers to breaches of Market Abuse Regulations and Financial Services and Markets Act 2000 related to market abuse and market manipulation in the Investment Bank sector. Our view is that a financial penalty and a prohibition

5643. Decision Notice 2022: Jorge Lopez Gonzalez [pdf]

      Decision notices

      Published: 07/12/2022

      Last modified: 10/10/2025

      This Decision Notice refers to breaches of Market Abuse Regulations and Financial Services and Markets Act 2000 related to market abuse and market manipulation in the Investment Bank sector. Our view is that a financial penalty and a prohibition

5644. Information on Whistleblowing - December 2022

      FOI releases

      Published: 07/12/2022

      Last modified: 09/01/2024

      The FCA provides information Whistleblowing.

5645. FCA Board Minutes: 28 October 2022 [pdf]

      Meeting minutes

      Published: 07/12/2022

      Minutes of the FCA Board meeting held on 28 October 2022.

5646. Information on FCA investigations - December 2022

      FOI releases

      Published: 07/12/2022

      Last modified: 09/01/2024

      Information on FCA investigations.

5647. Regulating pensions and retirement income: FCA/TPR regulatory strategy update

      Corporate documents

      Published: 07/12/2022

      Last modified: 07/12/2022

      We and The Pensions Regulator have published our update on our 2018 joint regulatory strategy for the pensions and retirement income sector.

5648. CP22/27: Introducing a gateway for firms who approve financial promotions [pdf]

      Consultation papers

      Published: 06/12/2022

      This consultation paper (CP) sets out proposals for how all firms wanting to continue to approve financial promotions for unauthorised firms will need to apply to the FCA for permission to do so.

5649. Memorandum of Understanding between Banco de Portugal and UK Authorities for the purposes of supervisory cooperation [pdf]

      Memorandums of understanding

      Published: 05/12/2022

      This Memorandum of Understanding is made between Banco de Portugal, the The Bank of England and the FCA

5650. Portfolio strategy letter: Financial advisers and intermediaries 2022 [pdf]

      Portfolio letters

      Published: 05/12/2022

      This letter provides an update of our view of the key harms in this sector, our expectations of you and a