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Showing 1791 to 1800 of 1807 search results for FSA Final Notice 2007.
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FCA operating service metrics 2021/22
The FCA provides information about the timeliness of its operating service metrics (formerly known as service standards) in a range of areas for 2021/22. -
The Financial Conduct Authority (FCA) bans Kweku Mawuli Adoboli from the financial services industry
Following convictions on 20 November 2012 of two counts of fraud by abuse of position, the Financial Conduct Authority (FCA) has banned Kweku Mawuli Adoboli from performing any function in relation to any regulated financial activity. -
2017 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2017. -
Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly
As a result of a substantial decline in the proportion of complaints upheld between March 2012 and October 2012, the FCA’s predecessor, the Financial Services Authority (FSA), began investigating the ... Following the FSA’s intervention Lloyds -
FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime
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 -
Tribunal upholds £80,000 fine for broker who lied about income and used falsified payslips in mortgage application
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to impose a financial penalty of £80,000 on Amir Khan, director of Sovereign Worldwide Limited (Sovereign), for dishonestly submitting false income -
Investor protection in the UK: New tools, new challenges
Speech by Maggie Craig, Acting Head of Savings and Investments, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version. -
Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli
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. -
Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
Keynote address: Financial crime in the FCA world
Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.