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Showing 1291 to 1300 of 1323 search results for primary market bulletin.
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FCA response to FSB’s Super-Complaint - requiring personal guarantees for business loans
On 08 December 2023, we received a super-complaint from the Federation of Small Businesses (FSB). This is the first super-complaint we have received since the super-complaint regime was applied to the FCA in 2013. -
The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer
he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010. -
Information on section 166 (skilled person) reviews and associated costs in the insurance sector - June 2026
FCA provides information on section 166 (skilled person) reviews and associated costs in the insurance sector -
CP25/3: Consultation on further proposals for firms operating public offer platforms
This consultation paper is part of the broader project on the new regime for public offers and admissions to trading. -
Sanctions systems and controls in our firms: our findings
UK sanctions have become more complex in recent years. This report reviews financial firms’ controls, highlighting good and poor practices and areas for improvement to support better compliance with sanctions rules. -
The FCA’s approach to supervising wealth management and private banking firms
Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation
in markets where customer service does not seem to be an important consideration) despite quoting prices that aren’t market leading. ... In other words, instead of relying on intuition and guesswork, we combine trials, behavioural economics, and -
Regulatory and consumer bodies welcome review of pension scheme communications provided to steel workers
The Financial Conduct Authority (FCA), The Pensions Regulator (TPR) and The Single Financial Guidance Body (SFGB) today welcomed an independent review by Caroline Rookes into communications and support provided to British Steel Pension Scheme (BSPS) -
Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money
The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in -
The FCA and the Bank of England encourage market participants in a switch to SONIA in the sterling exchange traded derivatives market from 17 June
FCA and the Bank of England encourage exchange traded derivatives market participants move to SONIA.