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Showing 721 to 730 of 879 search results for International Insurance Limited.

  1. UBS fined £9.45m for failings in its sale of an AIG fund

    Press Releases Published: 12/02/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund.

  2. Card security product holders: compensation scheme now closed

    News stories Published: 18/03/2016 Last modified: 19/09/2016
    Card security product holders were able to claim compensation over potential selling issues, but the deadline for claiming compensation has now passed and no further compensation claim forms will be accepted.

  3. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

    Press Releases Published: 22/04/2015 Last modified: 22/04/2015
    Merrill Lynch International (MLI) has been fined £13,285,900 by the Financial Conduct Authority (FCA) for incorrectly reporting 35,034,810 transactions and failing to report another 121,387 transactions ... Without this discount the fine would have been

  4. The FCA decides to ban and fine Timothy Roberts and Andrew Wilkins

    Press Releases Published: 07/10/2013 Last modified: 07/02/2022
    FCA has published decision notices against Timothy Roberts, the chief executive, and Andrew Wilkins, a former director of Catalyst Investment Group Limited (Catalyst).

  5. Liquidity Management multi-firm review

    Multi-firm reviews Published: 06/07/2023 Last modified: 06/07/2023
    Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management.

  6. J.P. Morgan International Bank fined for systems and controls failings in its wealth management business

    Press Releases Published: 23/05/2013 Last modified: 22/11/2021
    The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

  7. City Week: how regulation can help the UK lead in Fintech

    Speeches Published: 26/04/2023 Last modified: 20/03/2024
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry.

  8. FCA further bolsters its leadership team as it expands its headcount

    Press Releases Published: 05/07/2022 Last modified: 06/07/2022
    The Financial Conduct Authority (FCA) has appointed six directors as it expands its headcount to meet a growing remit and to achieve its ambitious strategy, which launched in April. The appointments announced today, which fill a mix of new and

  9. FCA reveals next round of successful firms in its regulatory sandbox

    Press Releases Published: 05/12/2017 Last modified: 06/12/2017
    The Financial Conduct Authority (FCA) today unveils the firms that were successful in their applications to begin testing in the third cohort of the sandbox.

  10. FCA fines former investment banker for sharing confidential information over WhatsApp

    Press Releases Published: 30/03/2017 Last modified: 30/03/2017
    The Financial Conduct Authority (FCA) has today fined Christopher Niehaus, a former investment banker, £37,198 for sharing client confidential information over WhatsApp.  The FCA found that Mr Niehaus failed to act with due skill, care and
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