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Showing 1581 to 1590 of 1855 search results.

  1. 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

  2. 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.

  3. FCA concludes action to protect consumers from unauthorised clone

    Statements Published: 11/09/2014 Last modified: 19/01/2016
    The FCA commenced civil proceedings in September 2014 because it was concerned that individuals purporting to be Joh. Berenberg, Gossler & Co. KG had carried on regulated activities in breach of the Financial Services and Markets Act 2000 by acting

  4. Temporary restriction in short selling

    Statements Published: 04/09/2014 Last modified: 01/11/2016
    Temporary restriction in short selling. Statements First published:. 04/09/2014. Last updated: 01/11/2016. Temporary restriction in short selling. The Financial Conduct Authority (“FCA”) notifies that it temporarily prohibits short selling in

  5. 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

  6. 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.

  7. 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

  8. 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

  9. FCA says firms must do more to ensure financial promotions do not mislead

    Press Releases Published: 13/08/2014 Last modified: 29/11/2016
    FCA says firms must do more to ensure financial promotions do not mislead. Press Releases First published:. 13/08/2014. Last updated: 29/11/2016. Share page. FCA says firms must do more to ensure financial promotions do not mislead. The Financial

  10. Temporary prohibition of short selling

    Statements Published: 08/08/2014 Last modified: 13/03/2017
    Temporary prohibition of short selling. Statements First published:. 08/08/2014. Last updated: 13/03/2017. Temporary prohibition of short selling. The Financial Conduct Authority (“FCA”) notifies that it temporarily prohibits short selling in