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Showing 1751 to 1760 of 1850 search results for FSA Final Notice 2009.

  1. FCA bans Terry Farr

    Press Releases Published: 29/05/2019 Last modified: 29/05/2019
    The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled

  2. FCA bans two individuals for lack of integrity

    Press Releases Published: 09/06/2016 Last modified: 09/06/2016
    In addition Mr Gray gave customers pension reports containing false and misleading assurances that they would receive advice on their investments even though, from October 2009, Mr Gray knew that funds

  3. Former director banned from conducting regulated activity

    Statements Published: 09/06/2015 Last modified: 09/06/2015
    Between 2009 and 2013, Mr Allen made illegitimate transfers totalling £1,000,000 from New Life to NMB without the knowledge of the other New Life directors. ... Final notice for Kevin Allen.

  4. 2013 fines

    News stories Published: 02/01/2013 Last modified: 26/03/2024
    Fines published during the calendar year ending December 2013.

  5. FCA fines Threadneedle Asset Management Limited £6m

    Press Releases Published: 15/12/2015 Last modified: 15/12/2015
    In April 2011, the Financial Services Authority (FSA) wrote to TAML and asked TAML to address specific concerns about the fixed income area of its front office, including the Emerging Markets ... The FSA was concerned about, among other things, the

  6. FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function

    Press Releases Published: 22/09/2015 Last modified: 14/11/2016
    FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function. ... The Final Notice for Craig McNeil.

  7. Two financial advisers banned and fined after investors lose out

    Press Releases Published: 18/10/2013 Last modified: 18/10/2013
    By June 2009 both men were aware that the property investment companies were in difficulty, with the market falling and bank lending seizing up.

  8. FCA fines LBGI £90 million for failures in communications for home insurance renewals between 2009 and 2017

    Press Releases Published: 08/07/2021 Last modified: 08/07/2021
    The FCA has fined LBGI (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) £90,688,400 for failing to ensure that language contained within

  9. FSA fines Nestor Healthcare Group £175,000 for clearance to deal failings

    Press Releases Published: 14/02/2013 Last modified: 07/02/2022
    The Financial Services Authority (FSA) has fined Nestor Healthcare Group Limited (Nestor) £175,000 for failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s

  10. FSA fines Royal Bank of Scotland Group £5.6m for UK sanctions controls failings

    Press Releases Published: 03/08/2010 Last modified: 29/11/2021
    The Financial Services Authority (FSA) has today fined members of the Royal Bank of Scotland Group (RBSG) £5.6m for failing to have adequate systems and controls in place to prevent breaches of UK financial sanctions.