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Showing 1771 to 1780 of 1850 search results for FSA Final Notice 2008.

  1. CP22/09: Expansion of the Dormant Assets scheme

    Consultations Consultation papers Published: 13/05/2022 Last modified: 16/08/2022
    We are consulting on changes to the FCA handbook to reflect the expansion of the Dormant Assets Scheme.

  2. HomeServe fined £30 million for widespread failings

    Press Releases Published: 13/02/2014 Last modified: 13/02/2014
    In particular HomeServe failed:. from February 2008 to October 2011, to take adequate steps to address compliance issues, for example, by failing to review and react to compliance monitoring reports that ... The Final Notice for HomeServe Membership

  3. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    Our notices and the root causes that underpin the failings should inform your approach to consideration of the risks you face. ... Between 2005 and 2008 the amount of guidance issued to the industry by the FSA increased by some 27%.

  4. FCA prohibits six individuals for their part in unauthorised collective investment scheme

    Press Releases Published: 01/11/2016 Last modified: 01/11/2016
    In a case brought by the Financial Conduct Authority (FCA) Scott Crawley, Daniel Forsyth, Adam Hawkins, Ross Peters, Aaron Petrou and Dale Walker have today been prohibited from performing any function in relation to any regulated activity for their

  5. FCA fines Merrill Lynch £34.5 million for failing to report transactions

    Press Releases Published: 23/10/2017 Last modified: 23/10/2017
    Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016.

  6. Speech: Beyond economics?

    Insight Published: 25/01/2017 Last modified: 28/02/2017
    paper on ‘Applying behavioural economics at the Financial Conduct Authority’, 2013.Similarly, the Financial Services Authority published ‘Financial Capability: a Behavioural Economics Perspective’ by de Meza et al, 2008. ... Our occasional papers

  7. 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.

  8. 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,

  9. FCA fines RBS and NatWest for failures in mortgage advice process

    Press Releases Published: 27/08/2014 Last modified: 12/09/2014
    in July 2012 that the necessary changes were well underway to address the FSA’s concerns. ... The final notice for the firms.

  10. The FCA’s Competition Powers

    Speeches Published: 23/03/2016 Last modified: 09/11/2016
    Speech by Deb Jones, Director of Competition at the FCA, delivered at The Impact of Competition Powers on Financial Services Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.