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Showing 1861 to 1870 of 1878 search results for FSA Final Notice 2010.

  1. FCA bans and fines trader £662,700 for manipulating gilt price during QE

    Press Releases Published: 20/03/2014 Last modified: 01/04/2014
    The Final Notice - for a more detailed description of Stevenson's trading, and price movements of the affected bond, please see section four. ... The government authorised the Bank to run two programmes of Quantitative Easing (QE), between March 2009 –

  2. 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.

  3. JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades

    Press Releases Published: 19/09/2013 Last modified: 19/09/2013
    On 1 April 2013, the Financial Services Authority (FSA) became the Financial Conduct Authority (FCA). ... Final Notice for JP Morgan Chase Bank NA.

  4. The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA

    Press Releases Published: 26/02/2014 Last modified: 26/02/2014
    In July 2010, the US authorities launched an investigation into FXCM’s business in the US. ... Final notice for Forex Capital Markets Limited (“FXCM Ltd”), FXCM Securities Limited (“FXCM Securities”).

  5. 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

  6. FCA fines Guaranty Trust Bank (UK) Limited £7.6 million for further failures in its anti-money laundering systems and controls

    Press Releases Published: 10/01/2023 Last modified: 10/01/2023
    The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Limited (GT Bank) £7,671,800 for serious weaknesses in its anti-money laundering (AML) systems and controls between October 2014 and July 2019.

  7. FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

    Press Releases Published: 09/02/2016 Last modified: 09/02/2016
    Mr Macris was the main contact with the FCA’s predecessor the Financial Services Authority (FSA) (FSA and FCA together the Authority) in relation to CIO International and as an approved

  8. State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings

    Press Releases Published: 31/01/2014 Last modified: 31/01/2014
    Between June 2010 and September 2011 the FCA found that State Street UK’s TM business deliberately overcharged six clients a total of $20,169,603. ... The Final Notice for State Street UK.

  9. FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears

    Press Releases Published: 29/10/2014 Last modified: 29/10/2014
    In September and October 2012, the FSA wrote to YBS highlighting serious failings in the monitoring and oversight of cases discovered during a previous visit. ... The final notice for YBS.

  10. The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator

    Press Releases Published: 11/08/2015 Last modified: 12/01/2023
    The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that