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Showing 1731 to 1740 of 4349 search results for FSA Final Notice.
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Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network
On 8 August 2017, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. -
FCA fines Barclays £72 million for poor handling of financial crime risks
fine that has been imposed by the FCA and its predecessor the FSA for financial crime failings. ... The Final Notice for Barclays Bank. -
ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
The Final Notice for IEL. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate. -
FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings
The broker has been fined for inadequate anti-money laundering (AML) systems and controls. -
Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings
Final Notice for Lloyds Bank plc and Bank of Scotland plc. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate. -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and -
Adviser Mark Abley pays £106k for poor pension transfer advice
The FCA has banned Mark Abley of County Capital Wealth Management Ltd (in liquidation) (CCWM) from providing any advice on pension transfers. -
FSA fines Zurich Insurance £2,275,000 following the loss of 46,000 policy holders' personal details
The Financial Services Authority (FSA) has fined the UK branch of Zurich Insurance Plc (Zurich UK) £2,275,000 for failing to have adequate systems and controls in place to prevent the loss of customers’ confidential information. The fine is the -
FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches
Final Notice SEI Investments (Europe) Limited. ... The consultation closed on 11 October 2013, and we expect to publish final rules in the first half of 2014. -
Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money
The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs)