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Showing 1701 to 1710 of 7864 search results for market watch.
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Final Notice 2022: Stephen John Tomlin [pdf]
This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article -
Decision Notice 2022: Jorge Lopez Gonzalez [pdf]
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 -
CP23/31: Primary Markets Effectiveness Review: Feedback to CP23/10 and detailed proposals for listing rules reforms [pdf]
CP23/31: Primary Markets Effectiveness Review: Feedback to CP23/10 and detailed proposals for listing rules reforms. -
CP23/28: Updating the regime for Money Market Funds [pdf]
This consultation sets out proposals to enhance the resilience of Money Market Funds (MMFs) in the UK. -
CP23/32: Improving transparency for bond and derivatives markets [pdf]
We are consulting on proposals to improve the transparency regime for bond and derivative markets. -
Mayfair Capital Markets (clone) (clone of FCA authorised firm)
Mayfair Capital Markets (clone) (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised -
Final Notice 2022: Sigma Broking Limited [pdf]
This Final Notice (Sigma Broking Limited) refers to breaches of SUP 17, SUP 15, PRIN 3 and Article 16 of MAR related to market abuse and transaction reporting failures in the trading firm sector. We imposed a financial penalty. -
Final Notice 2022: Matthew Charles Kent [pdf]
This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial -
TR24/1: Retirement income advice thematic review [pdf]
This review supports our work to improve standards across the consumer investment market. -
PS24/4: Rules relating to securitisation [pdf]
The FCA has outlined our approach to rules for the securitisation market in the UK, and responded to consultation feedback.