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Showing 4091 to 4100 of 4351 search results for FSA Final Notice.

  1. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

    Press Releases Published: 30/10/2014 Last modified: 30/10/2014
    In the Final Notice, the FCA finds that Sesame fell short of Principle 8 by failing to properly manage conflicts of interest. ... Previous final notices for Sesame:. Final guidance: Supervising retail investment advice: inducements and conflicts of

  2. Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history

    Press Releases Published: 13/10/2023 Last modified: 17/10/2023
    FCA fines Equifax £11,164,400 for failing to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US.

  3. Business interruption insurance during the coronavirus pandemic - High Court test case

    Statements Published: 15/05/2020 Last modified: 10/06/2020
    Statement on how we are engaging with policyholders and insurance intermediaries on business interruption (BI) insurance.

  4. Kenneth Carver fined £35,212 for insider dealing

    Press Releases Published: 30/03/2015 Last modified: 30/11/2016
    Kenneth Carver fined £35,212 for insider dealing. Press Releases First published:. 30/03/2015. Last updated: 30/11/2016. Share page. Kenneth Carver fined £35,212 for insider dealing. The Financial Conduct Authority (FCA) has today fined Kenneth

  5. Firms falling short of renewal expectations

    Multi-firm reviews Published: 18/10/2017 Last modified: 18/10/2017
    This page summarises how general insurance firms have implemented our transparency in insurance renewals which came into effect in April 2017.

  6. Two financial advisers banned and fined after investors lose out

    Press Releases Published: 18/10/2013 Last modified: 18/10/2013
    Two financial advisers banned and fined after investors lose out. Press Releases First published:. 18/10/2013. Last updated: 18/10/2013. Two financial advisers banned and fined after investors lose out. Two Surrey-based investments advisers have

  7. FCA finalises rules to improve the protection of client money and custody assets

    Press Releases Published: 10/06/2014 Last modified: 10/06/2014
    The final rules address lessons learnt from recent insolvencies, feedback from firms themselves and observations from the FCA’s specialist Client Assets Unit. ... The FCA continues to focus on the protection of client assets following the establishment

  8. FCA contacting 16,000 customers of debt management firm, PDHL

    Press Releases Published: 10/03/2016 Last modified: 11/03/2016
    Final Notice: PDHL Limited. ... The FCA gave PDHL a Decision Notice dated 16 December 2015 confirming that it had decided to refuse PDHL’s authorisation application.

  9. FCA issues its first decision under competition law

    Press Releases Published: 21/02/2019 Last modified: 21/02/2019
    The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers.

  10. FCA bans and fines James Lewis £120,300 for putting investors at risk

    Press Releases Published: 07/05/2024 Last modified: 07/05/2024
    James Lewis, the former CEO of Shard Capital Partners, has been fined £120,300 and banned by the FCA.
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