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Showing 1771 to 1780 of 4349 search results for FSA Final Notice.
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FCA bans and fines Floris Jakobus Huisamen over London Capital & Finance plc financial promotions
The FCA has fined a former director of London Capital & Finance plc (LCF) £31,800 and banned him from working in financial services. Floris Jakobus Huisamen was responsible for compliance at LCF but recklessly signed off hundreds of financial -
The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices
Acting on information from consumer complaints, the FCA's predecessor body, the Financial Services Authority (FSA), insisted Porta Verde take steps to address the issue, or stop using these ARs. -
FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme
The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358 -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
The Final Notice for Aviva Investors Global Services Limited. -
FSA report: Banks’ management of high money-laundering risk situations [pdf]
How banks deal with high-risk customers (including politically exposed persons), correspondent banking relationships and wire transfers -
Market Watch 67
Newsletter on market conduct and transaction reporting issues. -
FSA sanctions final report [pdf]
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FCA Final Notice 2014: UBS AG [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
FCA Final Notice 2014: The Royal Bank of Scotland Plc [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine. -
FCA Final Notice 2014: JPMorgan Chase Bank N.A. [pdf]
This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.