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Showing 4341 to 4350 of 4352 search results for FSA Final Notice.
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The FCA’s new competition powers: what do they mean for the financial services industry?
Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA one year on – effective regulation goes hand-in-hand with sustainable businesses
Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version. -
FCA takes action against Darren Reynolds and Andrew Deeney of Active Wealth for dishonest pension transfer advice
The FCA has decided to fine Mr Reynolds of Active Wealth (UK) Limited (Active Wealth) £2,212,316 and ban him from working in financial services. Mr Deeney was fined £397,400 and banned from working in financial services. -
GC16/2: Proposal to issue guidance on the FCA’s view of enforcing security under the Consumer Credit Act 1974
We published a feedback statement and final rules in Policy Statement (PS15/23) in September 2015 and stated that, in our view, taking or demanding payment from a guarantor (for example, ... notice. After reconsidering the matter we have now revised our -
FCA statement on the Work Plan for ESMA opinions on pre-trade transparency waivers and commodity position limits
for them to adapt their rules, systems and processes in order to comply before we take any final decision. ... notice period before the revised limit replaces the initial limit to allow market participants to adjust positions and, if eligible, apply for -
FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims
The FCA has fined ED&F Man Capital Markets Ltd (‘MCM’) £17,219,300 for serious failings in its oversight of cum-ex trading. These failings allowed MCM to collect fees for trading strategies designed to enable its clients to illegitimately -
FG18/7: Fairness of variation terms in financial services consumer contracts under the Consumer Rights Act 2015
We are consulting on changes to the Financial Crime Guide for firms, proposing to add a chapter on insider dealing and market manipulation and make miscellaneous changes as a result of recent regulatory changes to ensure the guide remains up to date. -
The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA
Final notice for Forex Capital Markets Limited (“FXCM Ltd”), FXCM Securities Limited (“FXCM Securities”). ... notice (relations with regulators – principle 11). -
FCA fines Guaranty Trust Bank (UK) Limited £7.6 million for further failures in its anti-money laundering systems and controls
The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Limited (GT Bank) £7,671,800 for serious weaknesses in its anti-money laundering (AML) systems and controls between October 2014 and July 2019. -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
The Final Notice for Aviva Investors Global Services Limited.