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Showing 1821 to 1830 of 1850 search results for FSA Final Notice 2008.

  1. Lloyds Banking Group fined £4.3 million for delayed PPI redress payments

    Press Releases Published: 19/02/2013 Last modified: 09/12/2016
    The Financial Services Authority (FSA) has fined three Lloyds Banking Group firms a total of £4,315,000 for failings in their systems and controls that resulted in up to 140,000 customers receiving delayed payment protection insurance (PPI) redress.

  2. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

    Press Releases Published: 25/09/2013 Last modified: 04/11/2014
    The Final Notice for IEL. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate.

  3. FCA fines CT Capital Ltd for failures related to PPI complaint handling

    Press Releases Published: 01/06/2016 Last modified: 01/06/2016
    Between 2005 and 2008, the group had sold 31,591 regulated PPI policies, receiving approximately £63 million net in commission as a result. ... The Final Notice for CT Capital Ltd.

  4. FCA fines Barclays £72 million for poor handling of financial crime risks

    Press Releases Published: 26/11/2015 Last modified: 26/11/2015
    fine that has been imposed by the FCA and its predecessor the FSA for financial crime failings. ... The Final Notice for Barclays Bank.

  5. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

  6. FCA fines Prudential £23,875,000 for failures relating to non-advised annuities sales

    Press Releases Published: 30/09/2019 Last modified: 30/09/2019
    The Financial Conduct Authority (FCA) has fined The Prudential Assurance Company Limited (Prudential) £23,875,000 for failures related to non-advised sales of annuities. 

  7. CP14/6: FCA regulated fees and levies: rates proposals 2014/15

    Consultation papers Published: 30/03/2014 Last modified: 23/11/2021
    We are consulting on our proposed 2014/15 regulatory fees and levies for the FCA, the Financial Ombudsman Service (ombudsman service) general levy, and the Money Advice Service.

  8. FCA bans and fines trader £662,700 for manipulating gilt price during QE

    Press Releases Published: 20/03/2014 Last modified: 01/04/2014
    The Final Notice - for a more detailed description of Stevenson's trading, and price movements of the affected bond, please see section four. ... Stevenson was an FCA approved person and held the CF30 (customer function) between July 2008 - October 2012,

  9. Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network

    Press Releases Published: 09/08/2017 Last modified: 09/08/2017
    On 8 August 2017, the  Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. 

  10. J.P. Morgan International Bank fined for systems and controls failings in its wealth management business

    Press Releases Published: 23/05/2013 Last modified: 22/11/2021
    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.