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Showing 1781 to 1790 of 1878 search results for FSA Final Notice 2010.

  1. Adviser numbers in line with expectations

    Press Releases Published: 15/08/2013 Last modified: 15/08/2013
    This stands in contrast to 2010 when less than half of all advisers were qualified to today’s standard. ... FSA. FCA. Financial Advisers. 23,787. 20,453. 21,684. Banks and Building Societies.

  2. Case concerning CEO referred to the Upper Tribunal

    Press Releases Published: 11/12/2015 Last modified: 11/12/2015
    The FCA’s decision is set out in the decision notice which is published today. ... The decision notice for Mr Charles Anthony Llewellen Palmer. The final notice for Ms Paivi Katriina Grigg.

  3. FSA fines Royal Bank of Scotland Group £5.6m for UK sanctions controls failings

    Press Releases Published: 03/08/2010 Last modified: 29/11/2021
    The Financial Services Authority (FSA) has today fined members of the Royal Bank of Scotland Group (RBSG) £5.6m for failing to have adequate systems and controls in place to prevent breaches of UK financial sanctions.

  4. About our complaints data

    Data Published: 06/05/2016 Last modified: 19/10/2023
    This page provides more information about how the FCA collects and reports complaints data.

  5. FCA fines Threadneedle Asset Management Limited £6m

    Press Releases Published: 15/12/2015 Last modified: 15/12/2015
    In April 2011, the Financial Services Authority (FSA) wrote to TAML and asked TAML to address specific concerns about the fixed income area of its front office, including the Emerging Markets ... The FSA was concerned about, among other things, the

  6. 2013 fines

    News stories Published: 02/01/2013 Last modified: 26/03/2024
    Fines published during the calendar year ending December 2013.

  7. FCA bans former BGC senior executive Anthony Verrier

    Press Releases Published: 29/01/2014 Last modified: 30/06/2014
    The FCA based its decision on the High Court’s findings in Tullett Prebon plc (and two others) v BGC Brokers LP (and 13 others, including Verrier), [2010] EWHC 484 (QB). ... The Final Notice for Anthony Verrier.

  8. Tribunal upholds FSA decision to fine firm £8m for market abuse

    Press Releases Published: 28/01/2013 Last modified: 28/01/2015
    The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as

  9. FCA bans former RBS LIBOR submitter, Paul White

    Press Releases Published: 12/04/2016 Last modified: 12/04/2016
    Between 8 March 2007 and 24 November 2010 (the Relevant Period), Mr White was the primary RBS submitter for JPY and CHF LIBOR. ... For example, on 22 June 2010 Mr White engaged in a Bloomberg communication with an external broker as follows:.

  10. 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,