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Showing 4271 to 4280 of 4352 search results for FSA Final Notice.
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CP18/1: Aligning the Financial Services Compensation Scheme levy time period
We are consulting on transitional provisions to ensure that the life and pensions intermediation class will continue to benefit from support from the retail pool over the next few months, consistent with the FSCS’s public messaging on this. -
FCA fines guarantor lender TFS Loans Ltd (in administration) and requires it to provide redress to affected guarantors
We have fined TFS Loans Ltd (in administration) £811,900 in relation to deficient affordability checks on 3,150 guarantors in its consumer credit business. -
FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings
Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA). -
FCA fines Commerzbank London £37,805,400 over anti-money laundering failures
The FCA has today fined Commerzbank AG (London Branch) £37,805,400 for failing to put adequate anti-money laundering (AML) systems and controls in place between October 2012 and September 2017. -
FCA decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case
Mr Teraiya has referred his Decision Notice to the Upper Tribunal. Any findings in the Decision Notice are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers his behaviour should be characterised. -
FCA fines Sigma Broking Limited £530,000 and bans and fines its former directors following market abuse reporting failures
Sigma Broking Limited (Sigma) has been fined £531,000 for failing to make reports crucial in fighting potential market abuse and three directors have been fined amounts totalling over £200,000, two of whom have also been prohibited. -
Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR
Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR. Press Releases First published:. 22/01/2015. Last updated: 22/01/2015. Share page. Two former senior executives of Martin Brokers fined and -
Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling
The final notice for Clydesdale Bank Plc. -
CP14/5: Changes to regulatory reporting: Adviser and consultancy charging, Authorised Professional Firms (APFs) and Product Sales Data (PSD)
We will consider the feedback received and publish a Handbook Notice policy statement in late 2014. -
Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules
This is the second final notice issued in relation to a listed company’s failure to comply with the Listing Rules applicable to related party transactions.