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Client Money and Assets
CASS compliance is needed if you control client money. Learn more about CASS rules, when and how to classify your CASS firm and what to submit for your monthly CMAR report. -
AML TechSprint problem statements
Participants at the International Anti-Money Laundering (AML) and Financial Crime TechSprint selected a problem statement to solve. -
Final Notice 2017: Niall O’Kelly [pdf]
This final notice refers to breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector. We imposed a fine and prohibition. -
FSA Commentary on FSA Complaints Data 2009 H1 [pdf]
FSA commentary on FSA Aggregate Complaints Data 2009 including highlights. -
Understanding price graphs
Learn how to read price graphs and use them to make smarter investing choices. -
Financial promotions data 2024
The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for 1 January 2024 to 31 December 2024. -
Attestation Data Q4 2013/14 to Q1 2022/23 [xlsx]
Attestation Data Q4 2013/14 to Q1 2022/23 - an attestation is a firm’s formal statement that it will take, or has taken, an action we require. -
Amend or wind up an authorised fund
Find out how to notify the FCA with the relevant form, gain approval and complete the change to your fund. -
Rent-to-own – update
The FCA took over the regulation of consumer credit, including the rent-to-own sector, in April 2014. -
Primary Market Bulletin 41
This edition of the FCA’s Primary Market Bulletin covers ESG integration in UK capital markets and disclosures.