Showing 1601 to 1610 of 1902 search results.

1601. MiFID II conference

      News stories Published: 19/09/2014 Last modified: 09/12/2016
      MiFID II conference. News stories First published:. 19/09/2014. Last updated: 09/12/2016. Find out about the MiFID II conference we held with nearly 500 registered attendees, watch video highlights of the event and read some of the key speeches. We

1602. Customers of three debt management firms should stop making payments

      News stories Published: 18/09/2014 Last modified: 13/11/2014
      Debt management customers of Gregson and Brooke Financial Services (trading as Expert Money Solutions), One Tick (trading as Debt Savers Direct and 1-Tick) and the Money Management Service should stop making payments to these firms.

1603. Financial adviser banned and fined £300,000 after clients lost out investing in companies he controlled

      Press Releases Published: 16/09/2014 Last modified: 16/09/2014
      Financial adviser banned and fined £300,000 after clients lost out investing in companies he controlled. Press Releases First published:. 16/09/2014. Last updated: 16/09/2014. Share page. Financial adviser banned and fined £300,000 after clients

1604. Insider dealers ordered to pay £3.2m in confiscation

      Press Releases Published: 14/09/2014 Last modified: 05/04/2023
      In a case brought by the Financial Conduct Authority (FCA) and heard at Southwark Crown Court Confiscation Orders (the Orders) totalling £3,249,488.71 were made by His Honour Judge Pegden QC between 10 September 2014 and 15 September 2014.

1605. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

      Press Releases Published: 29/08/2014 Last modified: 29/08/2014
      FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers. Press Releases First published:. 29/08/2014. Last updated: 29/08/2014. Share page. FCA bans and

1606. FCA publishes update on PPI work – firms have improved complaints handling and are reopening two and a half million old complaints to ensure fair redress is paid

      Press Releases Published: 29/08/2014 Last modified: 01/11/2016
      FCA publishes update on PPI work – firms have improved complaints handling and are reopening two and a half million old complaints to ensure fair redress is paid. Press Releases First published:. 29/08/2014. Last updated: 01/11/2016. Share page.

1607. Deutsche Bank fined £4.7m for failing to properly report transactions

      Press Releases Published: 28/08/2014 Last modified: 28/08/2014
      Deutsche Bank fined £4.7m for failing to properly report transactions. Press Releases First published:. 28/08/2014. Last updated: 28/08/2014. Share page. Deutsche Bank fined £4.7m for failing to properly report transactions. Deutsche Bank AG

1608. FCA fines RBS and NatWest for failures in mortgage advice process

      Press Releases Published: 27/08/2014 Last modified: 12/09/2014
      FCA fines RBS and NatWest for failures in mortgage advice process. Press Releases First published:. 27/08/2014. Last updated: 12/09/2014. Share page. FCA fines RBS and NatWest for failures in mortgage advice process. The Financial Conduct Authority

1609. FCA use of Attestations

      News stories Published: 26/08/2014 Last modified: 26/08/2014
      FCA use of Attestations. News stories First published:. 26/08/2014. Last updated: 26/08/2014. FCA use of Attestations. Exchange of letters between Clive Adamson, FCA director of supervision and Graham Beale, Chairman of the FCA Practitioner Panel

1610. Retrospective application of regulatory rules: call for examples

      News stories Published: 21/08/2014 Last modified: 21/08/2014
      Retrospective application of regulatory rules: call for examples. News stories First published:. 21/08/2014. Last updated: 21/08/2014. Share page. Retrospective application of regulatory rules: call for examples. We are asking for examples on