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Showing 3061 to 3070 of 3286 search results for This Final Notice refers.

  1. The Financial Conduct Authority publishes new referral criteria for enforcement investigations

    Press Releases Published: 10/07/2015 Last modified: 24/04/2019
    What purpose or goal would be served if the FCA were to take enforcement action in this case? ... This involves assessing whether a referral for an enforcement investigation is appropriate before a final decision is made by relevant senior staff.

  2. FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes

    Press Releases Published: 16/08/2013 Last modified: 17/09/2013
    This is another example of why we are toughening the rules around how such schemes can be promoted.”. ... In June this year, the FCA published final rules to ban the promotion of UCIS and certain close substitutes to the vast majority of retail

  3. PS13/9 Publishing information about enforcement warning notices

    Policy statements Published: 15/10/2013 Last modified: 07/02/2022
    We are setting out our policy for publishing information about enforcement warning notices, and responding to the feedback to our consultation.

  4. FCA penalises Al Rayan Bank PLC for anti-money laundering failures 

    Press Releases Published: 11/01/2023 Last modified: 11/01/2023
    We have fined Al Rayan Bank for failing to put in place adequate anti-money laundering (AML) controls.

  5. FCA fines HSBC £6.2 million over treatment of customers in financial difficulty

    Press Releases Published: 23/05/2024 Last modified: 31/05/2024
    We have fined HSBC UK Bank plc for failures in its treatment of customers who were in arrears or experiencing financial difficulty. 

  6. FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings

    Press Releases Published: 30/05/2019 Last modified: 30/05/2019
    The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016. 

  7. FCA fines compliance oversight officer for pension transfer failings

    Press Releases Published: 14/07/2017 Last modified: 14/07/2017
    The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB

  8. RBS fined £87.5 million for significant failings in relation to LIBOR

    Press Releases Published: 06/02/2013 Last modified: 18/11/2021
    The Financial Services Authority (FSA) has fined The Royal Bank of Scotland plc (RBS) £87.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR).

  9. Information on enforcement investigations opened against individuals (SMR) - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA provides data on enforcement investigations opened against individuals (SMR).

  10. FCA announces decision on cessation of 1- and 6-month synthetic sterling LIBOR at end-March 2023

    Statements Published: 29/09/2022 Last modified: 29/09/2022
    Publication of 1- and 6-month synthetic sterling LIBOR will be required until end-March 2023, after which these settings will permanently cease.
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