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Showing 2961 to 2970 of 3286 search results for This Final Notice refers.
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Temporary permissions removed if firms failing to apply for authorisation
Lyonnaise de Banque has had its temporary permissions revoked, meaning that the firm can no longer conduct regulated activity in the UK. -
FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
City Credit Capital (UK) Ltd (CCCUK) enters administration
Gary Paul Shankland and Jamie Taylor of Begbies Traynor (Central) LLP and Christopher Andersen of AABRS Limited were appointed as Joint Administrators of CCCUK following an application by CCCUK’s directors. -
Penalties, remediation, and our General Principles
FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London. -
Latest news and FAQs for CF Arch cru investors
Investors in the CF Arch cru funds can get their adviser to review the way the investment was sold, to see if they are entitled to compensation -
FCA bans IFA directors who provided false and misleading SIPP declarations
The FCA has banned Peter Howson and John Butterfield from performing any regulated activity because of their roles in the submission of false and misleading information about customers’ high net worth status. -
PS18/21: SME access to the Financial Ombudsman Service - near-final rules
Following publication of this Policy Statement with near-final rules, we have now published final rules. Our final rules, which are unchanged from our near-final rules, extend access to the Financial Ombudsman Service (‘the ombudsman service’) -
Notification and disclosure of net short positions
The EU Short Selling Regulation (SSR) introduced a private and public notification regime for investors who hold net short positions in certain financial instruments. -
HomeServe fined £30 million for widespread failings
procedures. Were it not for this discount the fine would have been £43,782,058. ... The Final Notice for HomeServe Membership Limited. -
FCA publishes Decision Notice against Jon Frensham for non-financial misconduct
The FCA has published a Decision Notice in respect of Jon Frensham (formerly known as Jonathan James Hunt), an independent financial adviser and the sole director at Frensham Wealth Limited.