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Showing 4261 to 4270 of 4352 search results for FSA Final Notice.

  1. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

    Press Releases Published: 21/12/2020 Last modified: 21/12/2020
    The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA.

  2. Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse

    Press Releases Published: 06/03/2015 Last modified: 06/03/2015
    It remains open to the parties to appeal this judgment. This decision follows the Final Notices issued to Mr Goenka, Mrs Parikh and Mr Davis in relation to the same matter. ... The Final Notices forand Parikh.

  3. Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls

    Press Releases Published: 23/01/2014 Last modified: 23/11/2021
    The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs).

  4. Financial services regulation and enforcement: recent developments and emerging issues

    Speeches Published: 09/10/2013 Last modified: 10/10/2013
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals

    Press Releases Published: 30/11/2022 Last modified: 28/09/2023
    We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA.

  6. Santander UK Plc (Santander) fined £32.8m for serious failings in its probate and bereavement process

    Press Releases Published: 19/12/2018 Last modified: 19/12/2018
    The Financial Conduct Authority (FCA) has fined Santander £32,817,800 for failing to effectively process the accounts and investments of deceased customers.

  7. FCA bans three individuals from working in the financial services industry for non-financial misconduct

    Press Releases Published: 05/11/2020 Last modified: 05/11/2020
    The Financial Conduct Authority (FCA) has prohibited Russell David Jameson, Mark Horsey, and Frank Cochran from working in the financial services industry following findings that they are not fit and proper.  Each of them had been convicted of

  8. Investment advisers’ and authorised firms’ responsibilities when accepting business from unauthorised introducers or lead generators

    News stories Published: 02/08/2016 Last modified: 12/03/2024
    This alert highlights some of the risks arising from authorised firms accepting business from unauthorised introducers/lead generators and other authorised firms.

  9. Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue

    Press Releases Published: 12/12/2013 Last modified: 07/02/2022
    Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue.

  10. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

    Press Releases Published: 19/12/2013 Last modified: 30/08/2015
    Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.". ... The Final Notices for JLT Specialty Limited (JLTSL).
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