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Showing 1781 to 1790 of 1850 search results for FSA Final Notice 2009.

  1. Lamprell plc fined £2,428,300 for systems and controls failings

    Press Releases Published: 18/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls resulting in Listing Rules and related breaches. Lamprell could not adequately monitor its financial

  2. How we calculate annual fees

    Tasks for firms Published: 09/05/2015 Last modified: 14/08/2023
    Find out what the FCA considers when calculating your annual fee, and read about fee blocks, extra fees and thresholds.

  3. The FCA has today published Decision Notices in respect of three former members of Keydata’s senior management: Stewart Ford, Mark Owen and Peter Johnson

    Press Releases Published: 26/05/2015 Last modified: 02/06/2015
    Between 2005 and 2009 Keydata Investment Services (Keydata) provided over £475 million of SLS and Lifemark-backed retail products. ... In June 2009, Keydata was placed into administration on the FCA’s application, on the basis that Keydata was

  4. The FCA bans Keydata’s former compliance officer, Peter Johnson

    Press Releases Published: 19/05/2016 Last modified: 19/05/2016
    The Final Notice follows Mr Johnson’s withdrawal of his reference to the Upper Tribunal. ... The Final Notice for Peter Johnson.

  5. The changing face of financial crime

    Speeches Published: 30/06/2013 Last modified: 05/04/2023
    Speech by Martin Wheatley, Chief Executive, the FCA, at the FCA Financial Crime Conference, London.

  6. UK EMIR news

    Markets policy Published: 22/05/2016 Last modified: 12/07/2024
    Read our archive of news relating to EMIR dating back to August 2013.

  7. The Financial Conduct Authority bans former Deutsche Bank trader, Christian Bittar

    Press Releases Published: 14/09/2018 Last modified: 14/09/2018
    The Financial Conduct Authority (FCA) has banned Christian Bittar from performing any function in relation to any regulated financial activity.

  8. UBS fined £9.45m for failings in its sale of an AIG fund

    Press Releases Published: 12/02/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund.

  9. 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.

  10. 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.