Showing 1771 to 1780 of 1902 search results.

1771. David Gagie joins the FCA as Senior Advisor

      News stories Published: 20/08/2013 Last modified: 20/08/2013
      David Gagie joins the FCA as Senior Advisor. News stories First published:. 20/08/2013. Last updated: 20/08/2013. Share page. David Gagie joins the FCA as Senior Advisor. David Gagie has joined the FCA as our newest Senior Adviser, focusing on

1772. FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes

      Press Releases Published: 16/08/2013 Last modified: 17/09/2013
      FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes. Press Releases First published:. 16/08/2013. Last updated: 17/09/2013. Share page. FCA bans and fines two for failing to monitor promotion of

1773. Adviser numbers in line with expectations

      Press Releases Published: 15/08/2013 Last modified: 15/08/2013
      Adviser numbers in line with expectations. Press Releases First published:. 15/08/2013. Last updated: 15/08/2013. Share page. Adviser numbers in line with expectations. Figures released today by the Financial Conduct Authority (FCA) have revealed

1774. FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls

      Press Releases Published: 09/08/2013 Last modified: 17/09/2013
      The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Ltd (GT Bank) £525,000 for failings in its anti-money laundering (AML) controls for high risk customers between May 2008 and June 2010.

1775. FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010

      Press Releases Published: 08/08/2013 Last modified: 17/09/2013
      The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka.

1776. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

      Press Releases Published: 08/08/2013 Last modified: 17/09/2013
      The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

1777. Financial Conduct Authority appoints four new supervision directors

      Press Releases Published: 07/08/2013 Last modified: 09/12/2016
      The Financial Conduct Authority (FCA) has appointed four directors to lead key areas of its Supervision division. These appointments complete the senior structure in Supervision, and are the final step in implementing a new structure for the division

1778. Andy Briscoe appointed chairman of Money Advice Service

      Press Releases Published: 01/08/2013 Last modified: 01/08/2013
      Former Life Trust Holdings CEO Andy Briscoe has been appointed chair of the Money Advice Service.

1779. Four arrested in FCA insider dealing investigation

      Press Releases Published: 30/07/2013 Last modified: 05/04/2023
      The Financial Conduct Authority (FCA) with the assistance of the Metropolitan Police has this morning executed search warrants in West London.

1780. Anti-money laundering

      News stories Published: 25/07/2013 Last modified: 25/07/2013
      This report sets out our obligations relating to anti-money laundering, our approach to carrying out those obligations, and the trends and emerging risks in money laundering that we are seeing in the firms we regulate.