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Showing 161 to 170 of 210 search results for FCA Final Notice to Finablr plc.

  1. PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc

    Press Releases Published: 26/08/2022 Last modified: 26/08/2022
    PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.

  2. FCA fines and bans financial adviser for insider dealing

    Press Releases Published: 13/05/2016 Last modified: 13/05/2016
    The FCA found that Mr Taylor, an experienced financial adviser who had worked at Towry Limited for 2.5 years, bought shares in another firm, Ashcourt Rowan plc, off the back ... The final notice for Mark Taylor.

  3. FCA issues first statement of objections to four asset management firms

    Press Releases Published: 29/11/2017 Last modified: 29/11/2017
    The Financial Conduct Authority (FCA) has issued a statement of objections to four asset management firms: Artemis Investment Management LLP, Hargreave Hale Ltd, Newton Investment Management Limited and River & Mercantile Asset Management LLP. The

  4. Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules

    Press Releases Published: 17/06/2015 Last modified: 17/06/2015
    The Financial Conduct Authority (FCA) has fined Asia Resource Minerals plc (ARM), formerly Bumi plc, £4,651,200 for having inadequate systems and controls to comply with its obligations as a ... This is the second final notice issued in relation to a

  5. Santander UK Plc (Santander) fined £32.8m for serious failings in its probate and bereavement process

    Press Releases Published: 19/12/2018 Last modified: 19/12/2018
    The Financial Conduct Authority (FCA) has fined Santander £32,817,800 for failing to effectively process the accounts and investments of deceased customers.

  6. FCA fines Reckitt Benckiser £539,800 for listing rule failures

    Press Releases Published: 20/01/2015 Last modified: 30/08/2015
    The Financial Conduct Authority (FCA) has fined Reckitt Benckiser Group Plc (RB) £539,800 for inadequate systems and controls to monitor share-dealing by its senior executives in its own shares. ... The Final Notice for Reckitt Benckiser Group.

  7. FCA operating service metrics 2021/22

    Data Published: 19/07/2022 Last modified: 20/12/2023
    The FCA provides information about the timeliness of its operating service metrics (formerly known as service standards) in a range of areas for 2021/22.

  8. Former CFO and Finance Director guilty of misleading investors in case brought by the FCA, former CEO found not guilty

    Press Releases Published: 11/02/2022 Last modified: 11/02/2022
    Timothy Coleman, Redcentric Plc's former Chief Financial Officer, has been found guilty of 4 charges concerning the making of false and misleading statements to the market.

  9. FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime

    Press Releases Published: 11/06/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has

  10. Upper Tribunal publishes decision on Andrew Tinney, the former COO of Barclays Wealth

    Press Releases Published: 16/08/2019 Last modified: 07/08/2020
    The Upper Tribunal has found that Andrew Tinney, the former COO of Barclays Wealth and Investment Management, breached his obligation as an approved person to act with integrity.