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Showing 4171 to 4180 of 4352 search results for FSA Final Notice.

  1. Ten years after Lehman: how accountants can make finance safer

    Speeches Published: 06/09/2018 Last modified: 25/11/2021
    Speech by Charles Randell, Chair of the Financial Conduct Authority and Payment Systems Regulator on how accountants can make finance safer.

  2. PS15/10: MIPRU Chapter 4 simplification: Feedback on CP14/28 and final rules

    Policy statements Published: 30/03/2015 Last modified: 12/01/2023
    In this Policy Statement we summarise the feedback we received to the proposals contained in CP14/28 and give our responses.

  3. The Financial Conduct Authority bans former Deutsche Bank trader, Christian Bittar

    Press Releases Published: 14/09/2018 Last modified: 14/09/2018
    The Financial Conduct Authority (FCA) has banned Christian Bittar from performing any function in relation to any regulated financial activity.

  4. FCA penalises Al Rayan Bank PLC for anti-money laundering failures 

    Press Releases Published: 11/01/2023 Last modified: 11/01/2023
    We have fined Al Rayan Bank for failing to put in place adequate anti-money laundering (AML) controls.

  5. FCA bans convicted fraudster from carrying out regulated activity

    Press Releases Published: 14/07/2021 Last modified: 14/07/2021
    An FCA investigation found Mr Creed failed to inform the FCA about his bankruptcy and a disqualification as a company director

  6. FCA fines compliance oversight officer for pension transfer failings

    Press Releases Published: 14/07/2017 Last modified: 14/07/2017
    The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB

  7. FCA announces decision on cessation of 1- and 6-month synthetic sterling LIBOR at end-March 2023

    Statements Published: 29/09/2022 Last modified: 29/09/2022
    Publication of 1- and 6-month synthetic sterling LIBOR will be required until end-March 2023, after which these settings will permanently cease.

  8. Besso Limited fined for anti-bribery and corruption systems failings

    Press Releases Published: 19/03/2014 Last modified: 19/03/2014
    The final notice for Besso Limited.

  9. FCA fines and prohibits hedge fund Chief Investment Officer for market abuse

    Press Releases Published: 15/12/2020 Last modified: 15/12/2020
    The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated

  10. FCA statement on delay to publication of final rules for CFDs products and CFD-like options

    Statements Published: 26/04/2019 Last modified: 26/04/2019
    This statement provides an update on the Financial Conduct Authority’s (FCA) consultation on permanent product intervention measures to restrict the sale, marketing and distribution of contract for differences (CFDs) and CFD-like options sold to
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