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Showing 1761 to 1770 of 1850 search results for FSA Final Notice 2009.

  1. 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

  2. Statement regarding Swift Trade Court of Appeal Judgment

    Statements Published: 19/12/2013 Last modified: 04/11/2014
    Update – A Final Notice for Swift Trade was issued on 24 January 2014. ... The FSA published its Decision Notice against Swift Trade on 31 August 2011.

  3. Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins

    Press Releases Published: 18/09/2015 Last modified: 09/12/2016
    The decision follows the Final Notices issued to Catalyst Investment Group Limited and Alison Moran, Catalyst’s compliance officer, in September 2013. ... Final notices forCatalystandAlison Moran.

  4. TR14/3 - Thematic Review - Mortgage lenders’ arrears management and forbearance

    Thematic reviews Published: 25/02/2014 Last modified: 30/11/2021
    This report summarises the key findings of our thematic review of mortgage lenders’ arrears management and forbearance.

  5. 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.

  6. FCA bans and censures managing director of SIPP operator Montpelier Pension Administration Services Limited

    Press Releases Published: 18/04/2013 Last modified: 25/11/2021
    The FCA has banned Kevin Wells, the managing director of Montpelier Pension Administration Services Limited (MPAS), from performing any significant influence function at any regulated firm, and also censured him.

  7. Tribunal bans former trader for lying to the FCA and the Tribunal

    Press Releases Published: 17/12/2013 Last modified: 19/12/2013
    Kerr came to a settlement with the FSA on the basis that his role in the relevant trading amounted to market abuse. ... The final notice for Andrew Charles Kerr.

  8. Besso Limited fined for anti-bribery and corruption systems failings

    Press Releases Published: 19/03/2014 Last modified: 19/03/2014
    had limited bribery and corruption policies and procedures in place between January 2005 and October 2009. ... The final notice for Besso Limited.

  9. PS13/9 Publishing information about enforcement warning notices

    Policy statements Published: 15/10/2013 Last modified: 07/02/2022
    We are setting out our policy for publishing information about enforcement warning notices, and responding to the feedback to our consultation.

  10. Upper Tribunal upholds the FCA decision to fine and ban former Keydata executives

    Press Releases Published: 06/11/2018 Last modified: 06/11/2018
    The Upper Tribunal has today upheld the Financial Conduct Authority’s (FCA) decision to fine and ban Stewart Ford and Mark Owen, the former CEO and sales director respectively of Keydata Investment Services Ltd (Keydata).