Publications
Search results
Showing 5661 to 5670 of 18806 search results.
-
Our Contracts for Difference (CFD) Strategy - portfolio letter [pdf]
Reminder to firms offering contacts for difference that CFDs are highly leveraged derivatives and adverse price movements in relevant markets can lead to substantial losses for consumers. -
FCA response to the EST on a dynamic and agile approach to regulation [pdf]
FCA letter to the Economic Secretary to the Treasury on our plans to deliver a better service, with clearer expectations from the outset. -
PS22/15: Improving outcomes in non-workplace pensions
The FCA sets out the final rules to improve outcomes for consumers saving into non-workplace pensions. -
Information on enforcement investigations and authorisations applications concerning Crypto- December 2022
FCA provides information enforcement investigations. -
CP22/25: Proposed regulatory framework for pensions dashboard service firms
The FCA has set out the regulatory framework for firms that operate pensions dashboard services. -
Decision Notice 2022: A [pdf]
This Decision Notice refers to breaches of FIT related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed. -
Decision Notice 2022: B [pdf]
This Decision Notice refers to breaches of APER 1 and FIT related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed. -
Decision Notice 2022: C [pdf]
This Decision Notice refers to breaches of APER 1 related to a lack of fitness/propriety and failing to act with integrity in the Wealth Management and Private Banking sector. Our view is that a prohibition should be imposed. -
CP22/24: Broadening access to financial advice for mainstream investments [pdf]
In this consultation paper (CP) we set out our proposals for a new core investment advice regime. -
Final Notice 2022: Julius Baer International Limited [pdf]
This Final Notice refers to breaches of PRIN 1, PRIN 3 and PRIN 11 related to failing to act with integrity, governance and failing to be open and co-operative in the in the Wealth Management and Private Banking sector. We imposed a financial penalty