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Showing 4141 to 4150 of 4352 search results for FSA Final Notice.
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Information on fines for lack of voice recording compliance - March 2022
The FCA provides information on fines for lack of voice recording compliance. -
FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010
The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka. -
Information on investigations opened under the Senior Managers' Regime - June 2022
The FCA provides information on investigations opened under the Senior Managers' Regime. -
FCA prohibits IFA and mortgage adviser for fitness and propriety failings
The FCA has prohibited financial advisor Anthony George from performing any regulated activity in the financial services industry. -
Speech: Darwin and an evolution in price discrimination
An aside. The Competition and Market Authority’s October 2015 remedies notice on banking includes an important observation. ... A possible alternative – stated or inferred well-being – is sometimes used, as in the FSA’s Mortgage Market Review and -
FCA bans Magnus Michael Peterson from the financial services industry
The Final Notice for Mr Peterson. -
Upper Tribunal publishes decision on Andrew Tinney, the former COO of Barclays Wealth
The Upper Tribunal has found that Andrew Tinney, the former COO of Barclays Wealth and Investment Management, breached his obligation as an approved person to act with integrity. -
The Financial Conduct Authority (FCA) bans two individuals from the financial services industry
The FCA has today banned two individuals from performing any function in relation to any regulated activity in the financial services industry. -
FCA fines Sir Christopher Gent for disclosing inside information
The Financial Conduct Authority (FCA) has fined Sir Christopher Gent, former non-executive Chairman of ConvaTec Group Plc, £80,000 for unlawfully disclosing inside information. -
The FCA has fined Liberty Mutual Insurance Europe SE £5.2 million for failures in its oversight of mobile phone insurance claims and complaints handling
The Financial Conduct Authority (FCA) has fined Liberty Mutual Insurance Europe SE (Liberty) £5,280,800 for failures between 5 July 2010 and 7 June 2015 in its oversight of its mobile phone insurance claims and complaints handling processes