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Showing 1801 to 1810 of 1850 search results for FSA Final Notice 2009.
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Tribunal directs Financial Conduct Authority to ban former insurance broker
On 25 July 2012 the FCA (then the FSA) issued a Decision Notice to Mr Allen stating that it intended to prohibit him because he was not a fit and proper ... The Final Notice for Stephen Allen. -
Lloyds Banking Group fined £4.3 million for delayed PPI redress payments
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. -
FCA and PRA publish final changes to enhance enforcement decision-making processes
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes -
FSA fines Zurich Insurance £2,275,000 following the loss of 46,000 policy holders' personal details
The Financial Services Authority (FSA) has fined the UK branch of Zurich Insurance Plc (Zurich UK) £2,275,000 for failing to have adequate systems and controls in place to prevent the loss of customers’ confidential information. The fine is the -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
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 -
ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
The Final Notice for IEL. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate. -
Tribunal upholds FCA fine on firm for misselling complex investments
Westwood’s Decision Notice was issued on 31 May 2011 and Westwood referred the matter to the Tribunal on 23 June 2011. ... The Tribunal’s judgment can be found online. Westwood is the latest firm to be disciplined as a result of the FSA’s thematic -
FCA fines Chase de Vere for failures surrounding sale of Keydata Products
Between August 2005 and June 2009 Chase de Vere’s advisers sold Keydata life settlement products to 2,806 customers who invested a total of £49.3 million. ... The final notice for Chase de Vere Independent Financial Advisers Limited. -
Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network
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. -
FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives
Charles Palmer, the Group’s CEO, was the subject of a previous Final Notice in 2010, relating to earlier failings at Financial and Investments. ... The Final Notice for Financial Limited andAn appointed representative (AR) is a person or firm who