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Showing 1781 to 1790 of 1799 search results for FSA Final Notice 2006.

  1. FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime

    Press Releases Published: 11/06/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has

  2. AIM Investment Company fined for failing to disclose inside information as soon as possible

    Press Releases Published: 14/12/2017 Last modified: 14/12/2017
    The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has

  3. Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli

    Press Releases Published: 01/05/2014 Last modified: 24/11/2021
    The Financial Conduct Authority (FCA) has banned John Christopher Hughes from performing any function in relation to any regulated activity in the financial services industry.

  4. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

    Press Releases Published: 03/10/2013 Last modified: 07/02/2022
    he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

  5. The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

    Press Releases Published: 01/09/2016 Last modified: 06/03/2017
    The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification

  6. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

  7. JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades

    Press Releases Published: 19/09/2013 Last modified: 19/09/2013
    On 1 April 2013, the Financial Services Authority (FSA) became the Financial Conduct Authority (FCA). ... Final Notice for JP Morgan Chase Bank NA.

  8. FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls

    Press Releases Published: 09/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Ltd (GT Bank) £525,000 for failings in its anti-money laundering (AML) controls for high risk customers between May 2008 and June 2010.

  9. The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA

    Press Releases Published: 26/02/2014 Last modified: 26/02/2014
    Between August 2006 and December 2010, the FXCM Group kept profits from favourable market movements between the time the orders were placed by FXCM UK and executed by the FXCM Group, ... Final notice for Forex Capital Markets Limited (“FXCM Ltd”),

  10. FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules

    Press Releases Published: 15/04/2015 Last modified: 15/04/2015
    The final notice for The Bank of New York Mellon London Branch / The Bank of New York Mellon (International) Ltd. ... Following the insolvency of Lehman Brothers in 2008, the FCA’s predecessor, the Financial Services Authority (FSA), wrote to