Publications

Showing 8921 to 8930 of 18816 search results.

8921. Further Final Notice 2020: Lloyd Arnold Pope [pdf]

      Final notices

      Published: 23/03/2020

      This Final Notice (Lloyd Arnold Pope) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and

8922. Further Final Notice 2020: Robert Ian Shaw [pdf]

      Final notices

      Published: 23/03/2020

      This Final Notice (Robert Ian Shaw) refers to breaches of APER 7 and FIT related to mis-selling, lack of fitness/propriety and conflicts of interest in the Investment Adviser and Pensions sector. We imposed a financial penalty, a prohibition and

8923. Information relating to the high-cost short-term credit sector - March 2020

      FOI releases

      Published: 23/03/2020

      Last modified: 25/10/2022

      The FCA provides information on the the high-cost short-term credit sector (HCSTC)

8924. FCA requests a delay to the forthcoming announcement of preliminary financial accounts [pdf]

      Correspondence

      Published: 21/03/2020

      FCA requests a delay to the forthcoming announcement of preliminary financial accounts.

8925. First Supervisory Notice 2020: Triton Insurance Brokers Ltd [pdf]

      Supervisory notices

      Published: 20/03/2020

      We varied the firm’s permission and imposed requirements on the firm.

8926. Information on the number of regulated advice firms who have given up defined benefit (DB) pension transfer permissions - March 2020

      FOI releases

      Published: 20/03/2020

      Last modified: 25/10/2022

      The Information on the number of regulated advice firms who have given up defined benefit (DB) pension transfer permissions between 1 April 2019 and 28 February 2020.

8927. Warning Notice Statement 20/1 [pdf]

      Warning notices

      Published: 19/03/2020

      The Financial Conduct Authority gave an individual a warning notice on 19 March 2020 proposing to take action in respect of the conduct summarised in this statement.

8928. OPBAS: Progress and themes from 2019 [pdf]

      OPBAS

      Published: 19/03/2020

      The purpose of this report is to provide an overview of Anti-Money Laundering (AML) supervision by the Professional Body Supervisors (PBSs) at the end of 2019.

8929. First Supervisory Notice 2020: Uncle Buck Finance LLP [pdf]

      Supervisory notices

      Published: 19/03/2020

      First Supervisory Notice 2020: Uncle Buck Finance LLP

8930. inside-fca-transcript-cyber-resilience-and-security.pdf [pdf]

      Transcripts

      Published: 18/03/2020

      Read the transcript for the Inside FCA Podcast interview with Robin Jones on cyber security and resilience.