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Showing 2951 to 2960 of 3286 search results for This Final Notice refers.

  1. AXA fined and reviews investment sales for advice failings

    Press Releases Published: 13/09/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.

  2. Firms falling short of renewal expectations

    Multi-firm reviews Published: 18/10/2017 Last modified: 18/10/2017
    This page summarises how general insurance firms have implemented our transparency in insurance renewals which came into effect in April 2017.

  3. Kenneth Carver fined £35,212 for insider dealing

    Press Releases Published: 30/03/2015 Last modified: 30/11/2016
    Had it not been for this, the Authority would have imposed a financial penalty of £122,212. ... To support this it has three operational objectives: to secure an appropriate degree of protection for consumers; to protect and enhance the integrity of the

  4. Two financial advisers banned and fined after investors lose out

    Press Releases Published: 18/10/2013 Last modified: 18/10/2013
    Despite the promise of guaranteed returns, most of those who invested during this period are likely to suffer substantial losses. ... To support this it has three operational objectives: to secure an appropriate degree of protection for consumers; to

  5. FCA issues its first decision under competition law

    Press Releases Published: 21/02/2019 Last modified: 21/02/2019
    The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers.

  6. Business interruption insurance during the coronavirus pandemic - High Court test case

    Statements Published: 15/05/2020 Last modified: 10/06/2020
    Statement on how we are engaging with policyholders and insurance intermediaries on business interruption (BI) insurance.

  7. Amendments to the IFPR Instrument 2021 since publishing the near-final version

    Firms Focus areas Published: 12/11/2021 Last modified: 13/02/2023
    We set out amendments to the original text of the near-final Investment Firms Prudential Regime (IFPR) Instrument, which was originally published in PS21/9.

  8. FCA contacting 16,000 customers of debt management firm, PDHL

    Press Releases Published: 10/03/2016 Last modified: 11/03/2016
    Final Notice: PDHL Limited. ... The FCA gave PDHL a Decision Notice dated 16 December 2015 confirming that it had decided to refuse PDHL’s authorisation application.

  9. Consumer Investments data review April 2022 – March 2023

    Data Published: 08/12/2023 Last modified: 08/12/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2022 and 31 March 2023.

  10. FCA bans and fines James Lewis £120,300 for putting investors at risk

    Press Releases Published: 07/05/2024 Last modified: 07/05/2024
    James Lewis, the former CEO of Shard Capital Partners, has been fined £120,300 and banned by the FCA.
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