Publications

Showing 9851 to 9860 of 18820 search results.

9851. Payment for Order Flow (PFOF) [pdf]

      Multi-firm reviews

      Published: 23/04/2019

9852. Final Notice 2019: Jack Boxall (JB Motors trading as) [pdf]

      Final notices

      Published: 23/04/2019

      This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

9853. Final Notice 2019: Scott Hawkins (Home Supplies trading as) [pdf]

      Final notices

      Published: 23/04/2019

      This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

9854. Final Notice 2019: Paul Dennison (Yes Car Contracts trading as) [pdf]

      Final notices

      Published: 23/04/2019

      This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

9855. Final Notice 2019: First Quality Finance Ltd [pdf]

      Final notices

      Published: 23/04/2019

      This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

9856. Payment for order flow multi-firm review findings

      Multi-firm reviews

      Published: 23/04/2019

      Last modified: 23/04/2019

      This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018.

9857. Aggregate complaints data to 2018 H2 [xlsx]

      Data

      Published: 18/04/2019

      Aggregate sector wide firm complaints data for 2018 H2. Including opened, closed, upheld, speed of closure and redress.

9858. Innovation Functions Co-operation Agreement between Canada and the Financial Conduct Authority [pdf]

      Memorandums of understanding

      Published: 18/04/2019

9859. Dear CEO letter: Wholesale market broking firms [pdf]

      Dear CEO letters

      Published: 18/04/2019

      We explain our view of the key harms that brokerage firms operating in wholesale financial markets pose to their clients and markets.

9860. Aggregate complaints data: 2018 H2

      Data

      Published: 18/04/2019

      Last modified: 14/01/2026

      This page focuses on complaints that financial services firms reported during the second half (H2) of 2018, between 1 July and 31 December 2018. This includes the latest trends and analysis by product group.