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Showing 4221 to 4230 of 4352 search results for FSA Final Notice.

  1. FCA statement on onshoring ESMA’s temporary intervention measures on retail CFD and binary options products

    Statements Published: 22/02/2019 Last modified: 22/02/2019
    The European Securities and Markets Authority’s (ESMA) temporary intervention measures prohibiting binary options and restricting contract for difference products (CFDs) sold to retail clients will become part of UK domestic law on exit day as

  2. FCA bans four for 'disgraceful' failings in relation to occupational pension schemes

    Press Releases Published: 17/12/2013 Last modified: 12/06/2020
    Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics

  3. TR14/3 - Thematic Review - Mortgage lenders’ arrears management and forbearance

    Thematic reviews Published: 25/02/2014 Last modified: 30/11/2021
    This report summarises the key findings of our thematic review of mortgage lenders’ arrears management and forbearance.

  4. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

    Press Releases Published: 12/10/2016 Last modified: 12/10/2016
    The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

  5. FCA takes action against three individuals from SVS Securities for mistreatment of pension funds

    Press Releases Published: 24/06/2024 Last modified: 24/06/2024
    Bonds into which they were invested by SVS have since defaulted, with customers unlikely to receive more than a fraction of their investment back.

  6. CP15/17: Capital resources requirements for Personal Investment Firms (PIFs)

    Consultation papers Published: 28/05/2015 Last modified: 22/02/2018
    Alongside the Retail Distribution Review (RDR) to improve the standards in the retail investment market, the then regulator, the Financial Services Authority (FSA), proposed new prudential requirements for personal investment firms ... We have published

  7. FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB

    Press Releases Published: 22/10/2020 Last modified: 23/10/2020
    FCA and PRA fine Goldman Sachs International £96.6m for risk management failures connected to 1Malaysia Development Berhad (1MDB)

  8. FCA fines former managing director £45,000 for failure to notify personal trades

    Press Releases Published: 20/12/2019 Last modified: 20/12/2019
    The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades.

  9. Market Force and the Chartered Institute’s Nicholas Barbon Lectures

    Speeches Published: 06/02/2013 Last modified: 29/03/2013
    Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London

  10. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

    Press Releases Published: 01/02/2016 Last modified: 01/02/2016
    The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.
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