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Showing 1731 to 1740 of 1807 search results for FSA Final Notice 2007.

  1. Enforcement

    About us How we regulate Published: 21/04/2016 Last modified: 02/04/2024
    Find out more about FCA enforcement powers, including how we protect consumers and act against firms and individuals that don’t meet our standards.

  2. FSA fines Royal Bank of Scotland Group £5.6m for UK sanctions controls failings

    Press Releases Published: 03/08/2010 Last modified: 29/11/2021
    The Financial Services Authority (FSA) has today fined members of the Royal Bank of Scotland Group (RBSG) £5.6m for failing to have adequate systems and controls in place to prevent breaches of UK financial sanctions.

  3. About our complaints data

    Data Published: 06/05/2016 Last modified: 19/10/2023
    This page provides more information about how the FCA collects and reports complaints data.

  4. Tribunal upholds FSA decision to fine firm £8m for market abuse

    Press Releases Published: 28/01/2013 Last modified: 28/01/2015
    The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as

  5. 2013 fines

    News stories Published: 02/01/2013 Last modified: 26/03/2024
    Fines published during the calendar year ending December 2013.

  6. FCA bans former RBS LIBOR submitter, Paul White

    Press Releases Published: 12/04/2016 Last modified: 12/04/2016
    Between 8 March 2007 and 24 November 2010 (the Relevant Period), Mr White was the primary RBS submitter for JPY and CHF LIBOR. ... In addition, between March 2007 and November 2008 Mr White sat next to a CHF derivatives trader who made oral requests for

  7. FCA fines Threadneedle Asset Management Limited £6m

    Press Releases Published: 15/12/2015 Last modified: 15/12/2015
    In April 2011, the Financial Services Authority (FSA) wrote to TAML and asked TAML to address specific concerns about the fixed income area of its front office, including the Emerging Markets ... The FSA was concerned about, among other things, the

  8. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

    Press Releases Published: 28/03/2019 Last modified: 28/03/2019
    Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.

  9. FCA publishes Decision Notice for former UBS LIBOR trader

    Press Releases Published: 14/04/2016 Last modified: 14/04/2016
    On 19 December 2012 the FSA published a Final Notice against UBS and imposed on UBS a financial penalty of £160 million. ... The Final Notice stated that UBS had committed serious misconduct in respect of its LIBOR and EURIBOR submissions process,

  10. FCA fines and bans former RBS trader, Neil Danziger

    Press Releases Published: 08/01/2018 Last modified: 08/01/2018
    The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from performing any function in relation to any regulated