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Showing 1691 to 1700 of 4349 search results for FSA Final Notice.

  1. FCA sets out findings against Link Fund Solutions

    Press Releases Published: 11/04/2024 Last modified: 11/04/2024
    Link Fund Solutions failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund, according to findings published by the FCA.

  2. IRHP: businesses in financial distress

    Consumers Published: 26/04/2016 Last modified: 14/12/2021
    How the IRHP review considers businesses in financial difficulty, businesses in administration and dissolved companies.

  3. FCA fines RBS and NatWest for failures in mortgage advice process

    Press Releases Published: 27/08/2014 Last modified: 12/09/2014
    in July 2012 that the necessary changes were well underway to address the FSA’s concerns. ... The final notice for the firms.

  4. FCA bans and fines former insurance broker £140,000

    Press Releases Published: 19/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity.

  5. FCA publicly censures former Worldspreads CEO for market misconduct

    Press Releases Published: 09/09/2020 Last modified: 09/09/2020
    The Financial Conduct Authority (FCA) publicly censures Conor Foley, the former Chief Executive Officer of Worldspreads, for market abuse and banning him from performing any roles linked to regulated activity.

  6. The FCA’s Competition Powers

    Speeches Published: 23/03/2016 Last modified: 09/11/2016
    Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  7. FCA fines US based oil trader US $903K for market manipulation

    Press Releases Published: 22/07/2013 Last modified: 23/11/2021
    The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets.

  8. FCA bans and fines two individuals for market abuse

    Press Releases Published: 07/04/2017 Last modified: 07/04/2017
    The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March 2012.    

  9. FCA fines Barclays £284,432,000 for forex failings

    Press Releases Published: 19/05/2015 Last modified: 17/11/2021
    The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London.

  10. IRHP: agreements with the banks and instructions to the independent reviewers

    Consumers Published: 26/04/2016 Last modified: 14/12/2021
    Consumers IRHP: agreements with the banks and instructions to the independent reviewers.
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