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Showing 71 to 80 of 2246 search results for Our Sector Views.

  1. FCA Decision Notice 2016: Andrew Tinney [pdf]

    Decision notices Published: 14/09/2016 Last modified: 16/08/2019
    This decision notice refers to breaches of APER 1 and FIT related to culture/governance, failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. Our view is that a public censure and

  2. Financial Lives 2022 survey

    Financial Lives Published: 26/07/2023 Last modified: 20/03/2024
    Find out more about the Financial Lives 2022 survey including the FCA's published reports and data. 

  3. Decision Notice 2023: Nailesh Manubhai Teraiya [pdf]

    Decision notices Published: 18/03/2024
    This Decision Notice refers to breaches of APER 1 related to a trading strategy which resulted in unlawful tax reclaims in the trading firms sector. Our view is that a financial penalty and prohibition should be imposed.

  4. Information on data breaches by category - June 2021

    FOI Release Date of Release: 08/06/2021
    The FCA provides information on data breaches by category up to the end of March 2021.

  5. Unfair contract terms library

    Tasks for firms Published: 03/08/2015 Last modified: 31/10/2023
    The FCA's work on unfair contract terms including past undertakings, agreements and other publications.

  6. Decision Notice 2022: Carillion (in liquidation) [pdf]

    Decision notices Published: 28/07/2022
    The Decision Notice (Carillion (in liquidation)) refers to breaches of the Market Abuse Regulations and Listing Rules, within the issuer’s sector. Our view is that a public censure should be imposed.

  7. Decision Notice 2022: Richard John Howson [pdf]

    Decision notices Published: 28/07/2022
    The Decision Notice (Richard John Howson) refers to knowing concern in breaches of the Market Abuse Regulations and Listing Rules, in the issuer’s sector. Our view is that a financial penalty should be imposed.

  8. Decision Notice 2023: Banque Havilland SA [pdf]

    Decision notices Published: 05/05/2023
    This Decision Notice (Banque Havilland SA) refers to breach of Principle 1 related to failing to conduct its business with integrity in the private banking sector. Our view is that a financial penalty of £10,000,000 should be imposed.

  9. Decision Notice 2023: David Edward Weller [pdf]

    Decision notices Published: 05/05/2023
    This Decision Notice (David Edward Weller) refers to breach of Conduct Rule 1 (COCON 2.1.1R) related to failing to act with integrity in the private banking sector. Our view is that a financial penalty of £54,000 and prohibition should be imposed.

  10. Chairman’s speech

    Speeches Published: 18/07/2013 Last modified: 18/07/2013
    Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version.
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