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Showing 141 to 150 of 4938 search results for Sector Views.
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FCA wholesale sector competition review – call for inputs
The Financial Conduct Authority (FCA) has today launched a review of competition in the wholesale sector. ... The FCA is seeking views on areas in the wholesale sector where competition might not be working effectively. -
FCA further decision notice 2016: Tariq Carrimjee [pdf]
This further decision notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. Our view is that a prohibition should be imposed. -
FCA Decision Notice 2016: Alistair Rae Burns [pdf]
This decision notice refers to breaches of APER 7 and FIT related to conflicts of interest, a lack of fitness/propriety and mis-selling in the investment adviser and pensions sector. Our view is that a fine, prohibition and withdrawal should be -
Financial Crime: analysis of firms’ data
The FCA has published its first financial crime survey of over 2,000 UK firms, across the financial sector. The survey gives a collective view of the activity being undertaken by firms in the UK to combat financial crime across the industry. -
Brexit and beyond
Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at City and Financial, 4th UK Financial Services Brexit Summit. -
FCA Decision Notice 2015: Stewart Owen Ford [pdf]
This decision notice refers to breaches of APER 1, APER 4, FIT related to mis-selling, failing to be open and co-operative, lack of fitness/propriety, conflicts of interests, failing to act on information appropriately in the Asset Management sector. -
FCA Decision Notice 2013: Clive John Rosier [pdf]
This decision notice refers to breaches of APER 2 and 7 related to unfair treatment of customers in relation to complaints-handling and lack of fitness/propriety in the investment advisors and platforms sector. Our view is that a fine, withdrawal -
Decision Notice: Jin-Yi Lee [pdf]
This decision notice (Jin-Yi Lee) refers to breaches of the Listing Principles and Disclosure Rules and Transparency Rules in the issuer sector. Our view is that a fine should be imposed. -
Decision Notice 2017: Church Hill Finance (Anthony Badaloo trading as) [pdf]
This decision notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the investment adviser sector. Our view is that a cancellation should be imposed. -
List of industry guidance
FCA list of industry guidance