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Showing 2131 to 2139 of 2139 search results for Final Notice refers to breaches.
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Clydesdale Bank fined £8.9 million for failing to treat its mortgage customers fairly
The £8.9 million fine was calculated using the penalty regime that the FCA applies to breaches committed from 6 March 2010, which was introduced in part to increase fine levels. -
The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer
he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010. -
Comparison of banking providers’ fraud controls
This page contains information about banks’ fraud controls. It is intended to enable consumers and consumer groups to compare how banks protect their customers against fraud, and to help consumers to make better informed choices about their -
FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings
The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets. -
Consumer Investments: Strategy and Feedback Statement
The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. -
Authorised fund managers’ assessments of their funds’ value
This review sets out our findings from our review, where we looked at the processes used by different Authorised Fund Managers (AFMs) when they carry out assessments of value (AoVs or 'Value Assessments') for the funds they operate. -
FCA fines Towergate and former director Timothy Philip for client and insurer money failings
From December 2008, in breach of its agreements with insurers, Towergate changed the basis upon which it removed commission owed to it by insurers from its insurer money bank accounts. ... Final notices for Towergate Underwriting Group Limited and -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
team. Prompt compensation was made to the eight funds Aviva Investors identified may have been adversely affected by its breaches, ensuring that they were not adversely impacted by Aviva Investors’ failings. ... The Final Notice for Aviva Investors -
Insurance multi-firm review of outcomes monitoring under the Consumer Duty
Our review of insurance firm approaches to monitoring customer outcomes.