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Showing 1781 to 1790 of 1850 search results for FSA Final Notice 2008.

  1. FCA bans and fines former insurance broker £140,000

    Press Releases Published: 19/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity.

  2. 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

  3. FCA bans former RBS LIBOR submitter, Paul White

    Press Releases Published: 12/04/2016 Last modified: 12/04/2016
    In addition, between March 2007 and November 2008 Mr White sat next to a CHF derivatives trader who made oral requests for CHF LIBOR submissions to him on a weekly basis. ... External Broker: "nice, much appreciated.". The FCA issued Mr White with a

  4. FCA fines US based oil trader US $903K for market manipulation

    Press Releases Published: 22/07/2013 Last modified: 23/11/2021
    The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets.

  5. Further details of Independent Investigation of Interest Rate Hedging Products announced

    Press Releases Published: 16/09/2019 Last modified: 16/09/2019
    John Swift QC has announced his full independent support team is now in place to conduct the investigation into the FSA’s (and subsequently the FCA’s) implementation and oversight of the Interest Rate Hedging Products (IRHP) Redress Scheme.

  6. 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

  7. IRHP: agreements with the banks and instructions to the independent reviewers

    Consumers Published: 26/04/2016 Last modified: 14/12/2021
    Consumers IRHP: agreements with the banks and instructions to the independent reviewers.

  8. Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue

    Press Releases Published: 12/12/2013 Last modified: 07/02/2022
    Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue.

  9. 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.

  10. Wealth Management Association (formerly APCIMS) speech

    Speeches Published: 09/10/2013 Last modified: 10/10/2013
    Speech by FCA Chairman, John Griffith-Jones, delivered to the Wealth Management Association in London. This is the text of the speech as drafted, which may differ from the delivered version.