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Showing 1831 to 1840 of 1850 search results for FSA Final Notice 2009.

  1. The Financial Conduct Authority (FCA) bans Kweku Mawuli Adoboli from the financial services industry

    Press Releases Published: 15/10/2015 Last modified: 18/11/2021
    Following convictions on 20 November 2012 of two counts of fraud by abuse of position, the Financial Conduct Authority (FCA) has banned Kweku Mawuli Adoboli from performing any function in relation to any regulated financial activity.

  2. FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime

    Press Releases Published: 11/06/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has

  3. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

    Press Releases Published: 05/06/2015 Last modified: 05/06/2015
    As a result of a substantial decline in the proportion of complaints upheld between March 2012 and October 2012, the FCA’s predecessor, the Financial Services Authority (FSA), began investigating the ... Following the FSA’s intervention Lloyds

  4. FCA bans and issues largest ever fine of nearly £1 million on a retail sole trader for deliberately misleading vulnerable customers for personal gain

    Press Releases Published: 19/06/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined sale and rent back arranger Gurpreet Singh Chadda £945,277 and banned him from working in the financial services industry for significant failings when conducting sale and rent back agreements. This

  5. Former UBS trader banned for failings related to US$2.3 billion unauthorised trading losses by Kweku Adoboli

    Press Releases Published: 01/05/2014 Last modified: 24/11/2021
    The Financial Conduct Authority (FCA) has banned John Christopher Hughes from performing any function in relation to any regulated activity in the financial services industry.

  6. Tribunal upholds £80,000 fine for broker who lied about income and used falsified payslips in mortgage application

    Press Releases Published: 17/04/2014 Last modified: 29/11/2021
    The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to impose a financial penalty of £80,000 on Amir Khan, director of Sovereign Worldwide Limited (Sovereign), for dishonestly submitting false income

  7. Investor protection in the UK: New tools, new challenges

    Speeches Published: 19/09/2014 Last modified: 19/09/2014
    Speech by Maggie Craig, Acting Head of Savings and Investments, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version.

  8. Ten years after Lehman: how accountants can make finance safer

    Speeches Published: 06/09/2018 Last modified: 25/11/2021
    Speech by Charles Randell, Chair of the Financial Conduct Authority and Payment Systems Regulator on how accountants can make finance safer.

  9. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

  10. FCA publishes decision notices against One Call Insurance Services Limited and John Lawrence Radford

    Press Releases Published: 26/01/2018 Last modified: 26/01/2018
    The Financial Conduct Authority has today published Decision Notices in respect of One Call Insurance Services Limited (One Call) and its Chief Executive and majority shareholder John Lawrence Radford.