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Showing 1751 to 1760 of 1807 search results for FSA Final Notice 2007.

  1. RBS fined £87.5 million for significant failings in relation to LIBOR

    Press Releases Published: 06/02/2013 Last modified: 18/11/2021
    The Financial Services Authority (FSA) has fined The Royal Bank of Scotland plc (RBS) £87.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR).

  2. AXA fined and reviews investment sales for advice failings

    Press Releases Published: 13/09/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.

  3. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

    Press Releases Published: 22/04/2015 Last modified: 22/04/2015
    Without this discount the fine would have been £18,979,876. The Final Notice for Merrill Lynch International. ... The FCA’s rules on transaction reporting are based on the EU Markets in Financial Instrument Directive (MiFID), November 2007.

  4. PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc

    Press Releases Published: 26/08/2022 Last modified: 26/08/2022
    PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.

  5. Former chief executive of stockbroker firm fined £450,000 and banned

    Press Releases Published: 13/03/2015 Last modified: 13/03/2015
    the FCA to issue its final notice, which reflects the FSA’s 2012 decision. ... The Final notice for Gracechurch Investments Limited (in liquidation), 20th December 2012.

  6. Lamprell plc fined £2,428,300 for systems and controls failings

    Press Releases Published: 18/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls resulting in Listing Rules and related breaches. Lamprell could not adequately monitor its financial

  7. The FCA bans Keydata’s former compliance officer, Peter Johnson

    Press Releases Published: 19/05/2016 Last modified: 19/05/2016
    The Final Notice follows Mr Johnson’s withdrawal of his reference to the Upper Tribunal. ... The Final Notice for Peter Johnson.

  8. FCA bans four for 'disgraceful' failings in relation to occupational pension schemes

    Press Releases Published: 17/12/2013 Last modified: 12/06/2020
    Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics

  9. UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR

    Press Releases Published: 19/12/2012 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA.

  10. IRHP: businesses in financial distress

    Consumers Published: 26/04/2016 Last modified: 14/12/2021
    How the IRHP review considers businesses in financial difficulty, businesses in administration and dissolved companies.