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Showing 4201 to 4210 of 4352 search results for FSA Final Notice.

  1. FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function

    Press Releases Published: 13/03/2015 Last modified: 13/03/2015
    The FCA found that Mr Bell designed and implemented the firms’ systems and controls and was therefore knowingly concerned in the firms’ breaches - set out in Final Notices issued against the ... The Final Notice for Financial Ltd and Investments Ltd.

  2. PS14/7: Changes to the use of dealing commission rules: feedback to CP13/17 and final rules

    Policy statements Published: 08/05/2014 Last modified: 23/11/2021
    In this Policy Statement we report on the main issues arising from Consultation Paper 13/17 – Consultation on the use of dealing commission rules, and publish the final rules.

  3. Deutsche Bank fined £4.7m for failing to properly report transactions

    Press Releases Published: 28/08/2014 Last modified: 28/08/2014
    The final notice for Deutsche Bank AG.

  4. Invesco Perpetual fined £18.6 million for failings in fund management

    Press Releases Published: 28/04/2014 Last modified: 28/04/2014
    Invesco Perpetual fined £18.6 million for failings in fund management. Press Releases First published:. 28/04/2014. Last updated: 28/04/2014. Share page. Invesco Perpetual fined £18.6 million for failings in fund management. The Financial Conduct

  5. CP13/11: Financial Services Compensation Scheme - unincorporated associations and partnerships

    Consultation papers Published: 02/10/2013 Last modified: 07/02/2022
    In this Consultation Paper (CP) we propose that all unincorporated associations and certain large partnerships will become eligible to claim on the Financial Services Compensation Scheme (FSCS) if an investment firm fails.

  6. FCA fines and restricts W H Ireland Limited for market abuse risks

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    FCA fines and restricts W H Ireland Limited for market abuse risks. Press Releases First published:. 23/02/2016. Last updated: 23/02/2016. Share page. FCA fines and restricts W H Ireland Limited for market abuse risks. The Financial Conduct

  7. Former Redcentric CFO sentenced to five and a half years imprisonment

    Press Releases Published: 03/03/2022 Last modified: 03/03/2022
    Tim Coleman sentenced to five and a half years imprisonment and disqualified from being a director for ten years.

  8. Sustainability disclosure and labelling regime

    Tasks for firms Firms Published: 02/02/2024 Last modified: 01/07/2024
    Information for firms and trade associations on sustainability disclosure requirements and the anti-greenwashing rule.

  9. FCA bans director from working in financial services after violent criminal conviction

    Press Releases Published: 14/11/2022 Last modified: 14/11/2022
    We have banned Mr Ashkan Zahedian from working in financial services following his conviction for serious, violent offences

  10. Further arrangements for the orderly wind-down of LIBOR at end-2021

    Press Releases Published: 29/09/2021 Last modified: 29/09/2021
    The sterling, Japanese yen, Swiss franc and euro LIBOR panels are ceasing on 31 December 2021
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