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Showing 4161 to 4170 of 4352 search results for FSA Final Notice.

  1. FSA fines Royal Bank of Scotland Group £5.6m for UK sanctions controls failings

    Press Releases Published: 03/08/2010 Last modified: 29/11/2021
    The Financial Services Authority (FSA) has today fined members of the Royal Bank of Scotland Group (RBSG) £5.6m for failing to have adequate systems and controls in place to prevent breaches of UK financial sanctions.

  2. Findings from our investment platforms costs and charges review – good and poor practice

    Firms Published: 04/05/2022 Last modified: 04/05/2022
    In our Investment Platforms Market Study we said we would keep the role of platforms in helping consumers understand their investment costs under review.

  3. FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud

    Press Releases Published: 30/07/2015 Last modified: 30/07/2015
    To date the FCA has issued 14 warning notices related to interest rate benchmarks, and continues wider investigations into individuals’ conduct in relation to LIBOR misconduct. ... The FCA has imposed 8 fines, totalling £653.6 million, on firms for

  4. FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka.

  5. FCA bans Phillip Harold Boakes and sentence of 10 years upheld

    Statements Published: 24/11/2015 Last modified: 24/11/2015
    The Final Notice for Phillip Boakes. The FCA’s Press Release in relation to the prosecution action dated 6 March 2015.

  6. FCA fines and bans former Deutsche Bank trader, Guillaume Adolph

    Press Releases Published: 05/03/2018 Last modified: 05/03/2018
    The Financial Conduct Authority (FCA) has fined Guillaume Adolph £180,000 and banned him from performing any function in relation to any regulated financial activity.

  7. FCA bans partners of firm that failed to consider customer SIPP suitability

    Press Releases Published: 17/04/2014 Last modified: 20/05/2014
    FCA bans partners of firm that failed to consider customer SIPP suitability. Press Releases First published:. 17/04/2014. Last updated: 20/05/2014. Share page. FCA bans partners of firm that failed to consider customer SIPP suitability. Andrew Rees

  8. Upper Tribunal publishes decision on Andrew Tinney, the former COO of Barclays Wealth

    Press Releases Published: 16/08/2019 Last modified: 07/08/2020
    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.

  9. FCA statement regarding potential enforcement action against Link Fund Solutions Ltd

    Statements Published: 21/09/2022 Last modified: 21/09/2022
    This follows an announcement made on 21 September by Link Group to the Australian Securities Exchange.

  10. What are the lessons for insurance supervisors from the recent financial crisis?

    Speeches Published: 12/02/2013 Last modified: 09/04/2024
    Speech by Adair Turner, FSA Executive Chairman at the Swedish Central Bank.
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