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Showing 21 to 30 of 489 search results.

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

    Temporary product interventions Published: 26/11/2019
    Measures for 12 months from 1 January 2020 to address risks of consumer harm from the promotion of speculative mini-bonds to retail investors
  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. First Supervisory Notice 2019: SVS Securities Plc [pdf]

    Supervisory notices Published: 08/08/2019
    This first supervisory notice refers to a failure to satisfy the suitability and appropriate resources threshold conditions (COND) and to breaches of SYSC, PROD and PRIN. We imposed requirements on the firm.
  5. 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).
  6. 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.
  7. 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.
  8. 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.
  9. 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
  10. 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