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Showing 51 to 60 of 4233 search results for Final notice in relation.

  1. Monitoring orders and transactions – our expectations of firms

    Speeches Published: 31/01/2013 Last modified: 29/03/2013
    Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum

  2. FCA cancels payday lender’s interim permission, bans director and refuses application to conduct regulated business

    Press Releases Published: 13/10/2016 Last modified: 13/10/2016
    The Financial Conduct Authority (FCA) has banned Andrew Barry Hart, the sole director, controller and ultimate owner of Wage Payment and Payday Loans Limited (WPPL), from performing any role in regulated financial services. The FCA has also

  3. Statement regarding Swift Trade Court of Appeal Judgment

    Statements Published: 19/12/2013 Last modified: 04/11/2014
    Update – A Final Notice for Swift Trade was issued on 24 January 2014. ... The FSA published its Decision Notice against Swift Trade on 31 August 2011.

  4. FCA sets out findings against Link Fund Solutions

    Press Releases Published: 11/04/2024 Last modified: 11/04/2024
    Link Fund Solutions failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund, according to findings published by the FCA.

  5. FCA bans Jon Frensham from working in financial services

    Press Releases Published: 17/09/2021 Last modified: 17/09/2021
    The FCA has banned director Jon Frensham (formerly known as Jonathan James Hunt) from performing any regulated activity

  6. UK EMIR news

    Markets policy Published: 24/05/2016 Last modified: 18/12/2023
    Read our archive of news relating to EMIR dating back to August 2013.

  7. Primary Market Bulletin 31

    Newsletters Published: 11/11/2020 Last modified: 11/11/2020
    Welcome to the 31st edition of the Primary Market Bulletin (PMB)

  8. FCA fines former fund manager Paul Stephany

    Press Releases Published: 05/02/2019 Last modified: 05/02/2019
    The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing.

  9. FCA proposing changes to streamline decision-making

    Press Releases Published: 29/07/2021 Last modified: 29/07/2021
    The FCA is proposing changes to its decision-making process which will enable it to make faster and more effective decisions.

  10. Moorhouse fined for failures in relation to its telephone sales

    Press Releases Published: 23/04/2015 Last modified: 23/04/2015
    Moorhouse fined for failures in relation to its telephone sales. Press Releases First published:. ... The Final Notice for Moorhouse Group Limited.