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Showing 1681 to 1690 of 4349 search results for FSA Final Notice.

  1. Our refusal process

    Firm authorisation Published: 06/09/2023 Last modified: 30/11/2023
    Understand the process if the FCA refuses your application for authorisation.

  2. 2013 fines

    News stories Published: 02/01/2013 Last modified: 26/03/2024
    Fines published during the calendar year ending December 2013.

  3. FCA fines Threadneedle Asset Management Limited £6m

    Press Releases Published: 15/12/2015 Last modified: 15/12/2015
    In April 2011, the Financial Services Authority (FSA) wrote to TAML and asked TAML to address specific concerns about the fixed income area of its front office, including the Emerging Markets ... The FSA was concerned about, among other things, the

  4. FCA publishes Decision Notice for former UBS LIBOR trader

    Press Releases Published: 14/04/2016 Last modified: 14/04/2016
    On 19 December 2012 the FSA published a Final Notice against UBS and imposed on UBS a financial penalty of £160 million. ... The Final Notice stated that UBS had committed serious misconduct in respect of its LIBOR and EURIBOR submissions process,

  5. Statement regarding Swift Trade Court of Appeal Judgment

    Statements Published: 19/12/2013 Last modified: 04/11/2014
    Update – A Final Notice for Swift Trade was issued on 24 January 2014. ... The FSA published its Decision Notice against Swift Trade on 31 August 2011.

  6. Primary Market Bulletin 46

    Newsletters Published: 19/12/2023 Last modified: 19/12/2023
    This edition covers Article 10 UK MAR and ESG stewardship  and TCFD-aligned disclosures: sponsor procedures.

  7. FCA fines Bank of Scotland for failing to report suspicions of fraud at HBOS Reading

    Press Releases Published: 21/06/2019 Last modified: 21/06/2019
    The Financial Conduct Authority (FCA) has today fined Bank of Scotland (BOS) £45,500,000 for failures to disclose information about its suspicions that fraud may have occurred at the Reading-based Impaired Assets (IAR) team of Halifax Bank of

  8. 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.

  9. Tribunal bans former trader for lying to the FCA and the Tribunal

    Press Releases Published: 17/12/2013 Last modified: 19/12/2013
    Kerr came to a settlement with the FSA on the basis that his role in the relevant trading amounted to market abuse. ... The final notice for Andrew Charles Kerr.

  10. FCA bans former CIB Partners Limited CEO Arnold Eber

    Press Releases Published: 27/02/2014 Last modified: 27/02/2014
    assets. The Final Notice for Arnold Eber. ... The SLS bonds and asset portfolio, which are the subject of this Final Notice, underpinned certain products issued by Keydata Investment Services Limited (in administration) (Keydata).
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