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Showing 4101 to 4110 of 4351 search results for FSA Final Notice.
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Temporary permissions removed if firms failing to apply for authorisation
Lyonnaise de Banque has had its temporary permissions revoked, meaning that the firm can no longer conduct regulated activity in the UK. -
FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
FCA bans IFA directors who provided false and misleading SIPP declarations
The FCA has banned Peter Howson and John Butterfield from performing any regulated activity because of their roles in the submission of false and misleading information about customers’ high net worth status. -
Penalties, remediation, and our General Principles
FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London. -
HomeServe fined £30 million for widespread failings
The Final Notice for HomeServe Membership Limited. -
Reports about sexual and non-financial misconduct made to the FCA
The FCA responds on the numbers of reports about sexual and non-financial misconduct made to the FCA -
FCA confirms how it will use new power to publicise warning notices
The Financial Conduct Authority (FCA) today confirmed how it will use its new power to publicise warning notices by publishing information about proposed enforcement action. ... Before making its final decision, it will consult the person under -
Effective global regulation in capital markets
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London -
Final Notice 2020: Lloyds Bank plc, Bank of Scotland plc, and The Mortgage Business plc [pdf]
This Final Notice (Lloyds Bank plc, Bank of Scotland plc, and The Mortgage Business plc) refers to breaches of PRIN 3 and PRIN 6 related to the unfair treatment of customers in the mortgages sector. We imposed a financial penalty. -
FSA secures High Court victory against illegal land banking firm, Asset Land
The Financial Services Authority (FSA) has won a key victory in the battle against unauthorised businesses after the High Court declared that David Banner-Eve, Stuart Cohen, Asset Land Investments Plc and Asset L.I. Inc. ran an illegal land bank by