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Showing 1761 to 1770 of 4349 search results for FSA Final Notice.
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FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules
The final notice for The Bank of New York Mellon London Branch / The Bank of New York Mellon (International) Ltd. ... Following the insolvency of Lehman Brothers in 2008, the FCA’s predecessor, the Financial Services Authority (FSA), wrote to -
FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears
In September and October 2012, the FSA wrote to YBS highlighting serious failings in the monitoring and oversight of cases discovered during a previous visit. ... The final notice for YBS. -
FCA decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case
Mr Teraiya has referred his Decision Notice to the Upper Tribunal. Any findings in the Decision Notice are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers his behaviour should be characterised. -
FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative
Mr Macris was the main contact with the FCA’s predecessor the Financial Services Authority (FSA) (FSA and FCA together the Authority) in relation to CIO International and as an approved -
FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings
The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840. -
FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Ltd (GT Bank) £525,000 for failings in its anti-money laundering (AML) controls for high risk customers between May 2008 and June 2010. -
The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator
The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that -
Capita Financial Managers to pay up to £66 million for the benefit of investors in the Connaught Income Fund, Series 1
The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered loss as a result of investing in the Guaranteed Low Risk -
FCA fines Towergate and former director Timothy Philip for client and insurer money failings
Final notices for Towergate Underwriting Group Limited and Timothy Philip. ... As early as March 2007 the FSA produced a Guide to Client Money for General Insurance Intermediaries to help firms understand how to hold client money in accordance with -
FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings
The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.