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Showing 1781 to 1790 of 1807 search results for FSA Final Notice 2007.
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Ex-Mortgage Advisor sentenced to two years after FCA action
On Friday 12 July, at Maidstone Crown Court, following criminal action brought by the Financial Conduct Authority (FCA), Michael Joseph James Lewis was sentenced to two years in prison on two counts of making/supplying documentation for use in fraud -
J.P. Morgan International Bank fined for systems and controls failings in its wealth management business
The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services. -
Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings
Final Notice for Lloyds Bank plc and Bank of Scotland plc. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate. -
FCA to ban the promotion of UCIS and certain close substitutes to ordinary retail investors
The Financial Conduct Authority (FCA) has published final rules to ban the promotion of Unregulated Collective Investment Schemes (UCIS) and certain close substitutes (together to be known as Non-Mainstream Pooled Investments (NMPIs)) to the vast -
What are the lessons for insurance supervisors from the recent financial crisis?
Speech by Adair Turner, FSA Executive Chairman at the Swedish Central Bank. -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
The rationale for the FCA’s Mission and the context which the FCA operates in
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at City Banquet, Mansion House. -
Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator
The Final Notice for Deutsche Bank. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate. -
Speech: New thinking in regulatory economics
He uses cases such as the Great Depression of the 1930s and the Great Recession of 2007-9 to show how positions develop across networks.The anthropological analysis of the ... I suppose the final implication of my story could be that influencing -
Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling
The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted