Showing 2331 to 2340 of 2432 search results.

2331. Ex-Mortgage Broker pleads guilty to 12 Criminal Offences

      Press Releases Published: 14/06/2013 Last modified: 17/09/2013
      In a case brought by the Financial Conduct Authority (FCA) Michael Joseph James Lewis, in a plea and case management hearing at Maidstone Crown Court, pleaded guilty to ten counts of breaching the general prohibition under Section 19 of the

2332. FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime

      Press Releases Published: 11/06/2013 Last modified: 17/09/2013
      The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has

2333. Changes to how banks process payments

      News stories Published: 07/06/2013 Last modified: 30/09/2016
      Barclays, The Co-operative, HSBC, Nationwide, RBS Group, Santander and National Australia Group (which owns Clydesdale and Yorkshire banks) have agreed to use a same day ‘retry system’ when payments are made to and from customers’ accounts.

2334. Motorists urged to check legal cover

      News stories Published: 07/06/2013 Last modified: 16/08/2013
      Following a review of motor legal expenses insurance (MLEI), we are telling firms to improve how they explain legal cover in policies so that drivers know exactly what they are paying for. Here we explain more.

2335. FCA secures commitment from high street banks to use a ‘retry system’ when processing payments to stop unnecessary penalty charges

      Press Releases Published: 07/06/2013 Last modified: 16/08/2013
      The Financial Conduct Authority (FCA) has reached an agreement with seven of the UK’s biggest high street banks that will see them use a same day ‘retry system’ when processing Direct Debits, standing orders and future dated bill payments.

2336. FCA fines investment firm Sesame £6m for failing to ensure advice given to customers was suitable and for poor systems and controls

      Press Releases Published: 05/06/2013 Last modified: 17/09/2013
      The Financial Conduct Authority (FCA) has fined Sesame Limited (Sesame) £6,031,200 for two sets of failings: failing to ensure that investment advice given to its customers was suitable; and failings in the systems and controls that governed the

2337. FCA to ban the promotion of UCIS and certain close substitutes to ordinary retail investors

      Press Releases Published: 04/06/2013 Last modified: 03/11/2016
      The Financial Conduct Authority (FCA) has published final rules to ban the promotion of Unregulated Collective Investment Schemes (UCIS) and certain close substitutes (together to be known as Non-Mainstream Pooled Investments (NMPIs)) to the vast

2338. Statement on Consultation Paper FSA CP12/25 ‘Enhancing the effectiveness of the Listing Regime’

      Statements Published: 31/05/2013 Last modified: 31/05/2013
      Here we provide an update on our follow-up to last October’s consultation (FSA CP12/25) on proposed changes to enhance the effectiveness of the Listing Regime.

2339. Mortgage Market Review (MMR) Roadshow Webcast

      News stories Published: 30/05/2013 Last modified: 15/12/2016
      Following our MMR roadshows earlier this year, we have developed a webcast of the material we presented at these events. We have also collated the Frequently Asked Questions we came across during the roadshows, and would encourage you to review

2340. FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest

      Press Releases Published: 24/05/2013 Last modified: 27/06/2019
      FCA publishes a Decision Notice against Angela Burns deciding to ban and fine the former non-executive director £154,800 for failing to disclose her conflicts of interest.