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Showing 1791 to 1799 of 1799 search results for FSA Final Notice 2006.

  1. FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

    Press Releases Published: 09/02/2016 Last modified: 09/02/2016
    Mr Macris was the main contact with the FCA’s predecessor the Financial Services Authority (FSA) (FSA and FCA together the Authority) in relation to CIO International and as an approved

  2. FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears

    Press Releases Published: 29/10/2014 Last modified: 29/10/2014
    In September and October 2012, the FSA wrote to YBS highlighting serious failings in the monitoring and oversight of cases discovered during a previous visit. ... The final notice for YBS.

  3. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

    Press Releases Published: 11/08/2015 Last modified: 12/01/2023
    The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that

  4. How implementing the Mortgage Market Review will shape the new market

    Speeches Published: 01/10/2013 Last modified: 03/10/2013
    Speech by Linda Woodall, Director of Mortgages and Consumer Lending, the FCA, at the Financial Services Expo, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Capita Financial Managers to pay up to £66 million for the benefit of investors in the Connaught Income Fund, Series 1

    Press Releases Published: 10/11/2017 Last modified: 10/11/2017
    The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered loss as a result of investing in the Guaranteed Low Risk

  6. FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

    Press Releases Published: 05/10/2016 Last modified: 03/11/2016
    The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.

  7. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

    Press Releases Published: 13/07/2016 Last modified: 13/07/2016
    Final notices for Towergate Underwriting Group Limited and Timothy Philip. ... As early as March 2007 the FSA produced a Guide to Client Money for General Insurance Intermediaries to help firms understand how to hold client money in accordance with

  8. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

    Press Releases Published: 13/12/2013 Last modified: 08/11/2016
    Acting on information from consumer complaints, the FCA's predecessor body, the Financial Services Authority (FSA), insisted Porta Verde take steps to address the issue, or stop using these ARs.

  9. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

    Press Releases Published: 12/11/2014 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358