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Showing 1711 to 1720 of 4349 search results for FSA Final Notice.

  1. FCA fines former fund manager Paul Stephany

    Press Releases Published: 05/02/2019 Last modified: 05/02/2019
    The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing.

  2. FCA cancels KBFS Financial Limited’s authorisation

    News stories Published: 22/04/2024 Last modified: 22/04/2024
    We have cancelled the permissions of KBFS Financial Limited (KBFS), preventing them from providing any financial services.

  3. FCA fines and prohibits trader for market abuse

    Press Releases Published: 04/03/2021 Last modified: 04/03/2021
    The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity.

  4. 2017 Disclosure Log

    Last modified: 16/11/2023
    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 2017. 

  5. PS13/9 Publishing information about enforcement warning notices

    Policy statements Published: 15/10/2013 Last modified: 07/02/2022
    We are setting out our policy for publishing information about enforcement warning notices, and responding to the feedback to our consultation.

  6. Tribunal upholds FCA fine on firm for misselling complex investments

    Press Releases Published: 27/11/2013 Last modified: 17/12/2013
    Westwood’s Decision Notice was issued on 31 May 2011 and Westwood referred the matter to the Tribunal on 23 June 2011. ... The Tribunal’s judgment can be found online. Westwood is the latest firm to be disciplined as a result of the FSA’s thematic

  7. Tribunal directs Financial Conduct Authority to ban former insurance broker

    Press Releases Published: 16/04/2015 Last modified: 16/04/2015
    On 25 July 2012 the FCA (then the FSA) issued a Decision Notice to Mr Allen stating that it intended to prohibit him because he was not a fit and proper ... The Final Notice for Stephen Allen.

  8. Ex-Mortgage Advisor sentenced to two years after FCA action

    Press Releases Published: 16/07/2013 Last modified: 17/09/2013
    On Friday 12 July, at Maidstone Crown Court, following criminal action brought by the Financial Conduct Authority (FCA), Michael Joseph James Lewis was sentenced to two years in prison on two counts of making/supplying documentation for use in fraud

  9. UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR

    Press Releases Published: 19/12/2012 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA.

  10. The expanding scope of individual accountability for corporate misconduct

    Speeches Published: 03/04/2017 Last modified: 05/04/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement
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