Showing 3771 to 3780 of 7865 search results for market watch.

3771. Firm level complaints data 2018 H1 [xlsx]

      Data

      Published: 29/10/2018

      Firm level complaints data 2018 H1. For firms submitting 500 or more opened complaints within their six month reporting period, 1,000 or more if they have an annual reporting period. Contains opened, closed, upheld and speed of closure.

3772. Financial promotions quarterly data 2022 Q3

      Data

      Published: 04/11/2022

      Last modified: 03/02/2023

      We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 July 2022 to 30 September 2022.

3773. Sponsor's Declaration for a Transfer of Listing Category [pdf]

      Primary market

      Published: 01/04/2013

      Last modified: 28/06/2018

3774. Information on turnover of MLRO at firms - May 2024

      FOI releases

      Published: 10/05/2024

      Last modified: 31/12/2024

      FCA provides information on turnover of MLRO at firms - May 2024

3775. Nick Stace appointed as Non-Executive Director

      Press Releases

      Published: 21/03/2017

      Last modified: 21/03/2017

      The Financial Conduct Authority (FCA) today confirmed the appointment of Nick Stace as a Non-Executive Director to its board.

3776. TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets

      Thematic reviews

      Published: 21/07/2016

      Last modified: 29/08/2025

      FCA surveyed the UK equity marketplace, focusing on dark pools and broker crossing networks, by examining promotional activity and the identification and management of conflicts of interest.

3777. Request for Martin Wheatley emails on IRHP - April 2022

      FOI releases

      Published: 21/04/2022

      Last modified: 25/10/2022

      The FCA provides emails to and from the email account of Martin Wheatley in which the interest rate hedging product (IRHP, swaps) review was referred to between 1 January 2013 and 1 July 2013.

3778. FCA censures London Capital & Finance plc

      Press Releases

      Published: 11/10/2023

      Last modified: 11/10/2023

      The Financial Conduct Authority (FCA) has censured London Capital & Finance (LCF) for its unfair and misleading financial promotions of minibonds.

3779. FCA secures £533,000 to return to investors

      Press Releases

      Published: 23/04/2024

      Last modified: 25/04/2024

      The FCA has recovered funds from an unauthorised deposit-taking scheme operated by Bright Managment Solution Limited [sic].

3780. Financial Services Regulatory Initiatives Forum - Minutes: April 2021 [pdf]

      Meeting minutes

      Published: 07/05/2021

      Financial Services Regulatory Initiatives Forum meeting minutes April 2021. The forum is made up of representatives of the Bank of England, Financial Conduct Authority, Prudential Regulation Authority, Payment Systems Regulator, the Competition and