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Showing 12 to 21 of 33 search results for Authority to ban former insurance broker.

12. Forms

    List of all forms on fca.org.uk  For Handbook forms, please use the Handbook forms page.

13. Four former directors of online consumer credit broker banned for misleading customers

    Press Releases Published: 25/07/2018 Last modified: 25/07/2018
    The Financial Conduct Authority (FCA) has banned David James Carter Mullins, Edward John Booth, Christopher Paul Brotherton and Mark Robert Kennedy, the former directors and shareholders of Secure My Money Limited (now dissolved).

14. 2022 fines

    News stories Published: 28/02/2022 Last modified: 04/01/2023
    Enforcement fines published in 2022.

15. Former chief executive of stockbroker firm fined £450,000 and banned

    Press Releases Published: 13/03/2015 Last modified: 13/03/2015
    Former chief executive of stockbroker firm fined £450,000 and banned. Press Releases First published:. ... A sample review of Gracechurch broker calls showed that brokers persistently ignored refusals by several clients to buy stock, repeatedly made

16. Former senior trader sentenced for insider dealing

    Press Releases Published: 19/03/2015 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA), Julian Rifat – a former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC – has today been sentenced at Southwark Crown Court to 19 months

17. 2014 Disclosure Log

    Last modified: 30/01/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2014. 

18. The FCA decides to ban and fine Timothy Roberts and Andrew Wilkins

    Press Releases Published: 07/10/2013 Last modified: 07/02/2022
    FCA has published decision notices against Timothy Roberts, the chief executive, and Andrew Wilkins, a former director of Catalyst Investment Group Limited (Catalyst).

19. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

    Press Releases Published: 22/01/2015 Last modified: 22/01/2015
    Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR. ... The Financial Conduct Authority (FCA) has fined and banned two former senior executives of interdealer broker Martin Brokers (UK) Limited

20. Financial promotions case studies

    Tasks for firms Published: 09/07/2021 Last modified: 28/05/2024
    Examples of good and bad practice when promoting financial services, and our expectations for promotions to be clear, fair and not misleading.

21. Former Moore Capital trader pleads guilty to insider dealing

    Press Releases Published: 07/11/2014 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting 8 instances of insider dealing

22. FSA bans and fines insurance broker Harbinder Panesar £212,237 for misappropriating money from his business and selling worthless policies

    Press Releases Published: 15/01/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) today banned insurance broker, Harbinder Panesar, from working in the financial services industry and fined him £212,237.