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Showing 11 to 20 of 249 search results.

  1. Temporary intervention on the marketing of speculative mini-bonds to retail investors

    Decisions and notices Temporary product interventions Published: 26/11/2019 Last modified: 26/11/2019
    We are introducing temporary rules to prevent consumer harm, by banning the promotion of high risk speculative mini-bonds to most retail consumers.
  2. Decision Notice: Stuart Malcolm Forsyth [pdf]

    Decision notices Published: 18/11/2019
    This Decision Notice refers to breaches of APER1 and FIT related to a lack of fitness/propriety in the insurance sector. Our view is that a prohibition and financial penalty should be imposed.
  3. Notice of Undertaking: The Co-operative Bank p.l.c. (trading as Platform) [pdf]

    Undertakings Published: 26/09/2019
    The FCA has published an undertaking from The Co-operative Bank p.l.c. (trading as Platform) in relation to a term in Platform’s mortgage contracts. The undertaking has been provided under the Consumer Rights Act 2015 (CRA).
  4. Notice of Undertaking: ETA Services Ltd [pdf]

    Undertakings Published: 26/06/2019
    The FCA has published an undertaking from ETA Services Ltd in relation to an unclear term in its Cycle Insurance Policy. The undertaking has been provided under the Consumer Rights Act 2015 (CRA).
  5. Decision Notice: Jin-Yi Lee [pdf]

    Decision notices Published: 31/05/2019
    This decision notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed.
  6. Decision Notice: Eric Ka Chi Siu [pdf]

    Decision notices Published: 31/05/2019
    This decision notice (Eric Ka Chi Siu) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed.
  7. Decision Notice: Cathay International Holdings Limited [pdf]

    Decision notices Published: 31/05/2019
    This decision notice (Cathay International Holdings Limited) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed.
  8. Notice of Undertaking: Capital Financial Management Limited [pdf]

    Undertakings Published: 23/05/2019
    The FCA has published an undertaking from Capital Financial Management Limited regarding a potentially unfair term in its debt management contract. The undertaking has been provided under the Consumer Rights Act 2015 (CRA) and the Unfair Terms in
  9. Decision Notice: Robert Ward (Director of BHIM) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Robert Ward (Director of BHIM) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that a
  10. Decision Notice: Thomas Ward (de facto director of FPL) [pdf]

    Decision notices Published: 09/05/2019
    This decision notice (Thomas Ward (de facto director of FPL)) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. Our view is that a prohibition and financial penalty