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Showing 111 to 120 of 4938 search results for Sector Views.

  1. 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.

  2. 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.

  3. The retail intermediary market 2021

    Data Published: 21/07/2022 Last modified: 21/07/2023
    This page provides the FCA's analysis of the intermediary sector in 2021 based on data drawn from the Retail Mediation Activities Return (RMAR).

  4. 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.

  5. 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.

  6. Ethics and Economics

    Speeches Published: 04/03/2014 Last modified: 05/03/2014
    Speech by Martin Wheatley, Chief Executive of the FCA, to the Worshipful Company of International Bankers, London 4 March 2014. This is the text of the speech as drafted, which may differ from the delivered version.

  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: Darren Antony Reynolds [pdf]

    Decision notices Published: 28/09/2023
    This Decision Notice (Darren Antony Reynolds) refers to breaches of APER 1 and FIT related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty and prohibition should be

  9. Apply to become a mortgage broker

    Firm authorisation Published: 15/11/2023 Last modified: 15/11/2023
    Find out what permissions you'll need to apply to the FCA for authorisation, and what the FCA expects to see in your application.

  10. The retail intermediary market 2020

    Data Published: 29/07/2021 Last modified: 21/07/2022
    This page provides the FCA's analysis of the intermediary sector in 2020 based on data drawn from the Retail Mediation Activities Return (RMAR).
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