Showing 1811 to 1820 of 1902 search results.

1811. 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

1812. 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

1813. 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

1814. 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.

1815. J.P. Morgan International Bank fined for systems and controls failings in its wealth management business

      Press Releases Published: 23/05/2013 Last modified: 22/11/2021
      The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

1816. Responses to the FSA's Discussion Paper on Transparency (FSA DP13/1)

      News stories Published: 03/05/2013 Last modified: 03/05/2013
      The response period for our Transparency Discussion Paper closed on 26 April 2013 and we received 52 responses.

1817. Two arrested in FCA insider dealing investigation

      Press Releases Published: 02/05/2013 Last modified: 05/04/2023
      On the 30 April the Financial Conduct Authority (FCA) with the assistance of the City of London Police Economic Crime Directorate executed a search warrant in West London.

1818. Borrowers with an interest-only mortgage should act now

      News stories Published: 02/05/2013 Last modified: 24/02/2016
      Find out why borrowers with an interest-only mortgage need to check whether their current plan will repay all of their loan and steps they can take to make sure it does.

1819. Former Mortgage Broker Committed to Crown Court for Conducting Unauthorised Business

      Press Releases Published: 02/05/2013 Last modified: 13/05/2013
      On Monday 29 April 2013, Michael Joseph James Lewis of 3 Sedley Close, Rainham, Gillingham, appeared at Medway Magistrates Court in relation to criminal offences brought against him by the Financial Conduct Authority (FCA).

1820. The FCA publishes findings of review into interest-only mortgages and reaches agreement with lenders to contact interest-only borrowers

      Press Releases Published: 02/05/2013 Last modified: 24/11/2021
      The Financial Conduct Authority (FCA) has published its research into consumers’ ability to repay their interest-only mortgages when they mature.