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Showing 181 to 190 of 1850 search results for FSA Final Notice 2009.

  1. FSA Approved Person Refusals 2009: Mr Nigel Alan Rees [pdf]

    Final notices Published: 01/01/2009 Last modified: 14/06/2014
    FSA Approved Person Refusals 2009: Mr Nigel Alan Rees

  2. FSA Approved Person Refusals 2009: James Alexander Moore [pdf]

    Final notices Published: 01/06/2009 Last modified: 14/06/2014
    FSA Approved Person Refusals 2009: James Alexander Moore

  3. FSA Application Refusal 2009: First Start Investments Limited [pdf]

    Final notices Published: 01/04/2009 Last modified: 14/06/2014
    FSA Application Refusal 2009: First Start Investments Limited

  4. FSA Application Refusal 2009: Evergreen Estates (UK) Limited [pdf]

    Final notices Published: 01/08/2009 Last modified: 14/06/2014
    FSA Application Refusal 2009: Evergreen Estates (UK) Limited

  5. 2013 Disclosure Log

    Last modified: 22/11/2021
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2013. 

  6. FCA fines Bank of Scotland for failing to report suspicions of fraud at HBOS Reading

    Press Releases Published: 21/06/2019 Last modified: 21/06/2019
    The Financial Conduct Authority (FCA) has today fined Bank of Scotland (BOS) £45,500,000 for failures to disclose information about its suspicions that fraud may have occurred at the Reading-based Impaired Assets (IAR) team of Halifax Bank of

  7. FCA bans former CIB Partners Limited CEO Arnold Eber

    Press Releases Published: 27/02/2014 Last modified: 27/02/2014
    assets. The Final Notice for Arnold Eber. ... The SLS bonds and asset portfolio, which are the subject of this Final Notice, underpinned certain products issued by Keydata Investment Services Limited (in administration) (Keydata).

  8. FCA bans and fines former insurance broker £140,000

    Press Releases Published: 19/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity.

  9. FCA publishes Decision Notice for former UBS LIBOR trader

    Press Releases Published: 14/04/2016 Last modified: 14/04/2016
    On 19 December 2012 the FSA published a Final Notice against UBS and imposed on UBS a financial penalty of £160 million. ... The Final Notice stated that UBS had committed serious misconduct in respect of its LIBOR and EURIBOR submissions process,

  10. FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls

    Press Releases Published: 08/01/2009 Last modified: 08/11/2016
    The Financial Services Authority (FSA) has today fined Aon Limited (Aon Ltd) £5.25 million for failing to take reasonable care to establish and maintain effective systems and controls to counter the risks of bribery and corruption associated with