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Showing 41 to 50 of 4233 search results for Final notice in relation.

  1. Temporary permissions removed if firms failing to apply for authorisation

    News stories Published: 21/12/2022 Last modified: 21/12/2022
    Lyonnaise de Banque has had its temporary permissions revoked, meaning that the firm can no longer conduct regulated activity in the UK.

  2. 2018 Disclosure Log

    Last modified: 14/09/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018. 

  3. AIFMD updates

    Focus areas Published: 08/06/2016 Last modified: 05/07/2023
    There are several updates the FCA has published on Alternative Investment Fund Managers Regulations. Find out about the FCA's updated guides and forms.

  4. Investment Firms Prudential Regime (IFPR)

    Firms Focus areas Published: 28/06/2021 Last modified: 10/04/2024
    The IFPR is our new prudential regime for MiFID investment firms. The regime came into force on 1 January 2022.

  5. Final Notice 2022: Esfera Capital, Agencia de Valores, S.A. [pdf]

    Final notices Published: 18/01/2022
    This Final Notice (Esfera Capital) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed a

  6. Financial crime resources

    Published: 08/02/2024 Last modified: 22/03/2024
    Find publications about our Financial Crime Public Commitment, including news, speeches, podcasts, events and external publications.

  7. FCA fines Barclays £284,432,000 for forex failings

    Press Releases Published: 19/05/2015 Last modified: 17/11/2021
    The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London.

  8. FCA publishes Decision Notice for former UBS LIBOR trader

    Press Releases Published: 14/04/2016 Last modified: 14/04/2016
    On 19 December 2012 the FSA published a Final Notice against UBS and imposed on UBS a financial penalty of £160 million. ... The Final Notice stated that UBS had committed serious misconduct in respect of its LIBOR and EURIBOR submissions process,

  9. Onshoring updates to our Handbook and Technical Standards

    Last modified: 26/05/2022
    We explain how we’ve prepared our Handbook and Technical Standards for the end of the transition period.

  10. Tesco to pay redress for market abuse

    Press Releases Published: 28/03/2017 Last modified: 23/08/2017
    The Financial Conduct Authority (FCA) announced in March that Tesco plc and Tesco Stores Limited (Tesco) have agreed that they committed market abuse in relation to a trading update published on 29 August 2014, which gave a false or misleading