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Showing 1751 to 1760 of 4349 search results for FSA Final Notice.
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FCA fines HSBC £6.2 million over treatment of customers in financial difficulty
We have fined HSBC UK Bank plc for failures in its treatment of customers who were in arrears or experiencing financial difficulty. -
FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings
The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls. -
FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings
The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes. -
Information on enforcement investigations opened against individuals (SMR) - May 2022
The FCA provides data on enforcement investigations opened against individuals (SMR). -
Barclays fined £38 million for putting £16.5 billion of client assets at risk
The Final Notice for Barclays Bank Plc. ... The FCA and FSA have previously imposed 16 fines for misconduct relating to client assets or client money. -
Wellington Court Financial Services Ltd has temporary permissions removed
Wellington Court Financial Services Limited has had its temporary permissions revoked. -
JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades
On 1 April 2013, the Financial Services Authority (FSA) became the Financial Conduct Authority (FCA). ... Final Notice for JP Morgan Chase Bank NA. -
How implementing the Mortgage Market Review will shape the new market
Speech by Linda Woodall, Director of Mortgages and Consumer Lending, the FCA, at the Financial Services Expo, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines EFG Private Bank £4.2m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined EFG Private Bank Ltd (EFG) £4.2 million for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers. The failings were serious -
FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime
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