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Showing 4251 to 4260 of 4352 search results for FSA Final Notice.

  1. FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures

    Press Releases Published: 20/11/2014 Last modified: 20/11/2014
    The final notice for the Banks.

  2. CP14/6: FCA regulated fees and levies: rates proposals 2014/15

    Consultation papers Published: 30/03/2014 Last modified: 23/11/2021
    We are consulting on our proposed 2014/15 regulatory fees and levies for the FCA, the Financial Ombudsman Service (ombudsman service) general levy, and the Money Advice Service.

  3. CP15/34: Regulatory fees and levies: policy proposals for 2016/17

    Consultation papers Published: 05/11/2015 Last modified: 05/11/2015
    Depending on the proposed policy change, we would expect to provide feedback on the responses received to this consultation in the following February or March Handbook Notice. ... We will consider your feedback and publish a Policy Statement with final

  4. FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor

    Press Releases Published: 06/01/2015 Last modified: 08/11/2016
    The Final Notice for Execution Noble & Company Limited. ENCL breached Listing Rules 8.3.5R and 8.7.8R (1) (a) – in summary these rules require sponsors to be open and

  5. CP14/7: Consumer credit interim permission fees for local authorities

    Consultation papers Published: 28/05/2014 Last modified: 29/11/2021
    We are consulting on amending our rules on fees for local authorities.

  6. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

    Press Releases Published: 22/04/2015 Last modified: 22/04/2015
    Without this discount the fine would have been £18,979,876. The Final Notice for Merrill Lynch International.

  7. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

    Press Releases Published: 13/07/2023 Last modified: 13/07/2023
    The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.

  8. CP24/1: Financial Services Compensation Scheme - Management Expenses Levy Limit 2024/25

    Consultation papers Published: 11/01/2024 Last modified: 09/02/2024
    In a joint consultation with the Prudential Regulation Authority (PRA), we are consulting on the management expenses levy limit (MELL) for the Financial Services Compensation Scheme (FSCS).

  9. CP20/16: Debt advice levy rates for 2020/21 – additional funding

    Consultation papers Published: 05/08/2020 Last modified: 16/10/2020
    We are consulting on the rates at which we propose to charge our levies for the additional amount of funding for debt advice notified to us by Her Majesty’s Treasury (the Treasury) and the Department for Work and Pensions (DWP) in 2020/21.

  10. Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services

    Press Releases Published: 09/08/2016 Last modified: 06/03/2017
    The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business.  Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and,
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