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Showing 71 to 80 of 4914 search results for Sector Views.

  1. FCA publishes final report into asset management sector

    Press Releases Published: 28/06/2017 Last modified: 28/06/2017
    The Financial Conduct Authority (FCA) has today published the final findings of its asset management market study and announced the package of remedies it will take forward to address the concerns identified in its interim report into the sector.

  2. Advisory Group on open finance

    Firms Published: 08/08/2019 Last modified: 13/06/2022
    We set up the Advisory Group on Open Finance to discuss the potential of extending Open Banking data-sharing to a wider range of financial products.

  3. The Future of the City

    Speeches Published: 05/02/2018 Last modified: 05/02/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Future of the City dinner.

  4. Regulating in a recovery

    Speeches Published: 13/11/2014 Last modified: 13/11/2014
    Speech by John-Griffith Jones, FCA Chairman, at the CASS Business School, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Decision Notice 2022: Richard Adam [pdf]

    Decision notices Published: 28/07/2022
    The Decision Notice (Richard Adam) 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.

  6. Decision Notice 2022: Diego Urra [pdf]

    Decision notices Published: 07/12/2022
    This Decision Notice refers to breaches of Market Abuse Regulations and Financial Services and Markets Act 2000 related to market abuse and market manipulation in the Investment Bank sector. Our view is that a financial penalty and a prohibition

  7. FCA Decision Notice 2013: Bayliss & Co (Financial Services) Limited [pdf]

    Decision notices Published: 23/05/2013 Last modified: 04/06/2015
    This decision notice refers to breaches of TC related to threshold conditions in the investment advisers and platforms sector. Our view is that a withdrawal should be imposed.

  8. Decision Notice 2023: Toni Fox [pdf]

    Decision notices Published: 01/09/2023
    This Decision Notice refers to breaches of APER 1 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. Our view is that a financial penalty, prohibition and withdrawal should be imposed.

  9. Decision Notice 2022: Poojan Sheth [pdf]

    Decision notices Published: 07/12/2022
    This Decision Notice refers to breaches of Market Abuse Regulations and Financial Services and Markets Act 2000 related to market abuse and market manipulation in the Investment Bank sector. Our view is that a financial penalty and a prohibition

  10. Keeping your firm's details up to date

    Tasks for firms Published: 03/05/2015 Last modified: 29/08/2023
    Learn how to keep your firm’s details up to date, and about the Firm Details Attestation and Directory Persons' Attestation.
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