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Showing 4111 to 4120 of 4351 search results for FSA Final Notice.

  1. Moorhouse fined for failures in relation to its telephone sales

    Press Releases Published: 23/04/2015 Last modified: 23/04/2015
    The Final Notice for Moorhouse Group Limited.

  2. Information on suspected orderbook spoofing and/or layering

    FOI Release Date of Release: 31/08/2021
    FCA responds on request for numbers of 'incidents' and 'cases' of suspected orderbook spoofing and/or layering

  3. FSA publishes guidance to help firms avoid poorly managed incentive schemes that drive mis-selling

    Press Releases Published: 16/01/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has published final guidance that will help financial firms avoid creating and operating incentives schemes that drive mis-selling.

  4. Final Notice 2022: The TJM Partnership Limited (Formerly known as Neovision Global Capital Limited) (In Liquidation) [pdf]

    Final notices Published: 15/07/2022
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  5. Barclays fined £783,800 and agrees to make a voluntary payment to Premier FX customers

    Press Releases Published: 28/02/2022 Last modified: 28/02/2022
    Barclays failed to make enquiries to ensure that Premier FX’s actual business activity aligned with Barclays’ expectations and did not identify that Premier FX’s internal controls were deficient.

  6. FCA issues first statement of objections to four asset management firms

    Press Releases Published: 29/11/2017 Last modified: 29/11/2017
    The Financial Conduct Authority (FCA) has issued a statement of objections to four asset management firms: Artemis Investment Management LLP, Hargreave Hale Ltd, Newton Investment Management Limited and River & Mercantile Asset Management LLP. The

  7. FCA fines and bans financial adviser for insider dealing

    Press Releases Published: 13/05/2016 Last modified: 13/05/2016
    The final notice for Mark Taylor.

  8. PS22/7: FCA regulated fees and levies 2022/23

    Policy statements Published: 27/06/2022 Last modified: 16/08/2022
    We publish our final 2022/23 regulated fees and levies including feedback on CP21/7.

  9. CP18/11: Reviewing the funding of the Financial Services Compensation Scheme (FSCS)

    Consultation papers Published: 01/05/2018 Last modified: 15/04/2019
    We have made final rules to change how the FSCS is funded and are consulting on changes to our Professional Indemnity Insurance (PII) requirements for Personal Investment Firms (PIFs).

  10. Final notice summary: Wage Payment and Payday Loans Limited, and Andrew Barry Hart [pdf]

    Final notices Published: 13/10/2016
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