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Showing 1361 to 1370 of 1855 search results.

  1. £2.9 million to be returned to investors following FCA prosecution

    Press Releases Published: 12/02/2016 Last modified: 30/09/2016
    £2.9 million to be returned to investors following FCA prosecution. Press Releases First published:. 12/02/2016. Last updated: 30/09/2016. Share page. £2.9 million to be returned to investors following FCA prosecution. Southwark Crown Court today

  2. FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

    Press Releases Published: 09/02/2016 Last modified: 09/02/2016
    FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative. Press Releases First published:. 09/02/2016. Last updated: 09/02/2016. Share page. FCA fines former Head of JP Morgan’s CIO International

  3. FCA confirms accountability rules for wholesale traders and interim rules on regulatory references

    Press Releases Published: 04/02/2016 Last modified: 19/04/2016
    FCA confirms accountability rules for wholesale traders and interim rules on regulatory references. Press Releases First published:. 04/02/2016. Last updated: 19/04/2016. Share page. FCA confirms accountability rules for wholesale traders and

  4. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

    Press Releases Published: 01/02/2016 Last modified: 01/02/2016
    The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

  5. FCA and PRA investigations into HBOS senior managers

    Press Releases Published: 28/01/2016 Last modified: 28/01/2016
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have decided to start investigations into certain former HBOS senior managers.

  6. Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime

    Statements Published: 27/01/2016 Last modified: 26/05/2016
    It has come to our attention that there is uncertainty as to whether an individual in charge of a firm’s legal function requires approval under our Senior Managers regime. This statement:describes our plans to consult on this area; and makes clear

  7. Andrew Bailey appointed as new Chief Executive of the FCA

    Press Releases Published: 26/01/2016 Last modified: 26/01/2016
    HM Treasury have today announced the appointment of Andrew Bailey as the new permanent Chief Executive of the Financial Conduct Authority (FCA).

  8. Temporary prohibition of short selling: Banco Popolare

    Statements Published: 21/01/2016 Last modified: 21/01/2016
    Temporary prohibition of short selling: Banco Popolare. Statements First published:. 21/01/2016. Last updated: 21/01/2016. Share page. Temporary prohibition of short selling: Banco Popolare. The Financial Conduct Authority (“FCA”) notifies that

  9. New Bank Start-up Unit launched by the financial regulators

    Press Releases Published: 20/01/2016 Last modified: 31/12/2018
    The Prudential Regulation Authority (PRA) and FCA have today launched the New Bank Start-up Unit. The Unit is a joint initiative from the UK’s financial regulators giving information and support to newly authorised banks and those thinking of

  10. Extension of temporary prohibition of short selling: Banca Monte dei Paschi di Siena S.p.A.

    Statements Published: 20/01/2016 Last modified: 20/01/2016
    Extension of temporary prohibition of short selling: Banca Monte dei Paschi di Siena S.p.A. Statements First published:. 20/01/2016. Last updated: 20/01/2016. Share page. Extension of temporary prohibition of short selling: Banca Monte dei Paschi