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Showing 71 to 80 of 1161 search results for supervised by the Prudential Regulation Authority.

  1. Mark Lyttleton pleads guilty to insider dealing

    Press Releases Published: 02/11/2016 Last modified: 02/11/2016
    Mark Lyttleton, a former Equity Portfolio Manager at BlackRock, has today pleaded guilty to two counts of insider dealing.  He will be sentenced on 21 December 2016.

  2. FCA fines Threadneedle Asset Management Limited £6m

    Press Releases Published: 15/12/2015 Last modified: 15/12/2015
    The Financial Conduct Authority (FCA) has fined Threadneedle Asset Management Limited (TAML) £6,038,504 for failing to put in place adequate controls in the fixed income area of its front ... On 1 April 2013 the FCA became responsible for the conduct

  3. FCA publishes annual report and accounts 2016/17

    Press Releases Published: 05/07/2017 Last modified: 11/04/2024
    The FCA has published its Annual Report and Accounts, which looks back on the key pieces of work undertaken by the organisation throughout 2016/17.

  4. Claims management companies enter FCA regulation today

    Press Releases Published: 01/04/2019 Last modified: 01/04/2019
    The Financial Conduct Authority (FCA) begins regulating the claims management industry from today (1 April). All claims management companies (CMCs) in England, Scotland and Wales will now have to demonstrate they meet and maintain minimum standards

  5. FCA fines Bluefin £4m for misleading customers

    Press Releases Published: 06/12/2017 Last modified: 06/12/2017
    The Financial Conduct Authority (FCA) has today fined Bluefin Insurance Services Limited (Bluefin) £4,023,800 for having inadequate systems and controls and failing to provide information to its customers about Bluefin’s independence in a way

  6. FCA consults on complaints handling improvements

    Press Releases Published: 12/12/2014 Last modified: 07/02/2022
    Financial services firms will no longer be able to use premium rate telephone numbers for customers as part of a series of proposals from the Financial Conduct Authority (FCA) on changes to the rules on complaint handling and post-sale telephone

  7. FCA fines Merrill Lynch £34.5 million for failing to report transactions

    Press Releases Published: 23/10/2017 Last modified: 23/10/2017
    Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.

  8. New rules proposed for sponsors to enhance listing regime

    Press Releases Published: 30/01/2014 Last modified: 30/01/2014
    On the 1 April 2013 the Financial Conduct Authority (FCA) became responsible for the conduct supervision of all regulated financial firms and the prudential supervision of those not supervised by the ... Prudential Regulation Authority (PRA).

  9. FCA publishes Insurance Distribution Directive consultation

    Press Releases Published: 06/03/2017 Last modified: 06/03/2017
    The Financial Conduct Authority (FCA) has today published the first of its two consultation papers on the implementation of the Insurance Distribution Directive (IDD).

  10. Strand Capital Limited enters administration

    Press Releases Published: 17/05/2017 Last modified: 18/05/2017
    Strand Capital Limited (Strand), an investment management firm, formally entered the Special Administration Regime (SAR) insolvency proceedings on 17 May 2017.
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