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Showing 4191 to 4200 of 4352 search results for FSA Final Notice.

  1. FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings

    Press Releases Published: 30/05/2019 Last modified: 30/05/2019
    The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016. 

  2. PS14/12: A new capital framework for Self-Invested Personal Pension (SIPP) operators

    Policy statements Published: 04/08/2014 Last modified: 07/02/2022
    We have outlined our final capital rules for Self-Invested Personal Pension (SIPP) operators, which will come into force on 1 September 2016.

  3. FCA fines Santander UK £107.7 million for repeated anti-money laundering failures

    Press Releases Published: 09/12/2022 Last modified: 09/12/2022
    The FCA has fined Santander UK Plc (Santander) £107,793,300 after it found serious and persistent gaps in its anti-money laundering (AML) controls, affecting its Business Banking customers. 

  4. Letter from the Chairman to the Chief Ombudsman on application for certification under the Alternative Dispute Resolution (ADR) Directive

    Statements Published: 09/07/2015 Last modified: 09/07/2015
    which the person issues the notice under paragraph (c) except that, in the case of a highly complex dispute, the person may extend this period but must inform the parties of ... upon which the person received the final submissions of the parties, but it

  5. Information on enforcement action within asset management in 2019 - May 2020

    FOI Release Date of Release: 14/05/2020
    The FCA provides information on enforcement action within asset management in 2019.

  6. FCA statement on its work on liquidity mismatch in authorised open-ended property funds

    Statements Published: 07/05/2021 Last modified: 07/05/2021
    In August 2020 we consulted on proposals to reduce the potential for harm to investors from the liquidity mismatch in open-ended property funds.

  7. Ring-fencing: Disclosures to consumers by non-ring-fenced bodies: PS16/9

    Policy statements Published: 24/03/2016 Last modified: 04/11/2016
    We have published our final rules for non-ring-fenced bodies.

  8. FCA statement on the Opinion of ESMA on our final rules for CFDs and CFD-like options

    Statements Published: 02/07/2019 Last modified: 04/07/2019
    This notice sets out the FCA's reasons for acting contrary to the European Securities and Markets Authority’s (ESMA) Opinion of our national product intervention measures restricting how CFDs and CFD-like options are sold to retail

  9. FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators

    Press Releases Published: 21/07/2014 Last modified: 21/07/2014
    ETVs may be offered by employers to incentivise members to transfer out of their DB pension schemes, such as a final salary scheme, into a defined contribution (DC) scheme, typically a

  10. FCA bans Lee Morgan for British Steel Pension Scheme advice failings

    Press Releases Published: 28/06/2023 Last modified: 28/06/2023
    The FCA has banned Denis Lee Morgan of Pembrokeshire Mortgage Centre Limited (in liquidation) (PMC) from advising any customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. 
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