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Showing 51 to 60 of 150 search results for Final Notice issued to Goenka.
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Regulatory Decisions Committee (RDC)
The RDC helps to ensure that contested enforcement decisions are made fairly. Find out more about the process and who sits on the committee. -
Benchmarks Regulation: our powers, policy and decision-making
Our policy approach to exercising our powers over critical benchmarks, and our decisions to use these powers to help manage an orderly wind-down of LIBOR. -
CP16/8: Quarterly Consultation Paper No. 12
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals. -
Tribunal upholds FCA fine on firm for misselling complex investments
It remains open to Westwood to appeal the judgment. Update 17/12/2013: Westwood will not appeal the judgment, and the FCA has issued a Final Noticeto Westwood. ... Westwood’s Decision Notice was issued on 31 May 2011 and Westwood referred the matter to -
Consumer investments data review 2020
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020. -
Information on enforcement action within asset management in 2019 - May 2020
The FCA provides information on enforcement action within asset management in 2019. -
FCA issues its first decision under competition law
The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers. -
The FCA’s Competition Powers
Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Enforcement data – Annual Report 2020/21
This FCA enforcement data for the year 2020/21 forms part of the FCA's annual report 2020/21. -
Primary Market Bulletin 42
In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers.