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Showing 2981 to 2990 of 3286 search results for This Final Notice refers.

  1. Barclays fined £783,800 and agrees to make a voluntary payment to Premier FX customers

    Press Releases Published: 28/02/2022 Last modified: 28/02/2022
    Barclays failed to make enquiries to ensure that Premier FX’s actual business activity aligned with Barclays’ expectations and did not identify that Premier FX’s internal controls were deficient.

  2. FCA publishes Decision Notices concerning Cathay International Holdings Limited, its CEO and Finance Director

    Press Releases Published: 03/06/2019 Last modified: 03/06/2019
    The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled

  3. FCA issues first statement of objections to four asset management firms

    Press Releases Published: 29/11/2017 Last modified: 29/11/2017
    The Financial Conduct Authority (FCA) has issued a statement of objections to four asset management firms: Artemis Investment Management LLP, Hargreave Hale Ltd, Newton Investment Management Limited and River & Mercantile Asset Management LLP. The

  4. Cryptoasset AML / CTF regime: feedback on good and poor quality applications

    Tasks for firms Published: 22/03/2023 Last modified: 03/07/2024
    Feedback on good and poor quality applications made to the FCA under money laundering regulations.

  5. PS23/19: Margin requirements for non-centrally cleared derivatives: Amendments to BTS 2016/2251

    Policy statements Published: 18/12/2023 Last modified: 18/12/2023
    PRA and FCA's final policy and feedback to responses following their joint consultation paper.

  6. FCA fines and bans financial adviser for insider dealing

    Press Releases Published: 13/05/2016 Last modified: 13/05/2016
    He also provided evidence of serious financial hardship; but for this, the FCA would have imposed a penalty of £78,819. ... The final notice for Mark Taylor.

  7. PS22/7: FCA regulated fees and levies 2022/23

    Policy statements Published: 27/06/2022 Last modified: 16/08/2022
    We publish our final 2022/23 regulated fees and levies including feedback on CP21/7.

  8. CP18/11: Reviewing the funding of the Financial Services Compensation Scheme (FSCS)

    Consultation papers Published: 01/05/2018 Last modified: 15/04/2019
    We have made final rules to change how the FSCS is funded and are consulting on changes to our Professional Indemnity Insurance (PII) requirements for Personal Investment Firms (PIFs).

  9. Adviser Mark Abley pays £106k for poor pension transfer advice

    Press Releases Published: 26/06/2023 Last modified: 26/06/2023
    The FCA has banned Mark Abley of County Capital Wealth Management Ltd (in liquidation) (CCWM) from providing any advice on pension transfers.

  10. Tribunal directs Financial Conduct Authority to ban former insurance broker

    Press Releases Published: 16/04/2015 Last modified: 16/04/2015
    The Tribunal reached this decision because Mr Allen was found to have submitted a forged document in evidence and to have knowingly given untrue evidence before the High Court in another ... The Final Notice for Stephen Allen.
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