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Showing 3171 to 3180 of 3286 search results for This Final Notice refers.

  1. Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services

    Press Releases Published: 09/08/2016 Last modified: 06/03/2017
    The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business.  Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and,

  2. Financial services regulation and enforcement: recent developments and emerging issues

    Speeches Published: 09/10/2013 Last modified: 10/10/2013
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

  3. CP18/1: Aligning the Financial Services Compensation Scheme levy time period

    Consultation papers Published: 04/01/2018 Last modified: 23/02/2018
    We are consulting on transitional provisions to ensure that the life and pensions intermediation class will continue to benefit from support from the retail pool over the next few months, consistent with the FSCS’s public messaging on this.

  4. PS18/22: Authorised push payment fraud – extending the jurisdiction of the Financial Ombudsman Service

    Policy statements Published: 26/06/2018 Last modified: 14/12/2018
    In this policy statement, we summarise and respond to feedback to Consultation Paper 18/16: Authorised push payment fraud – extending the jurisdiction of the Financial Ombudsman Service.

  5. PS19/14: Loan-based (‘peer-to-peer’) and investment-based crowdfunding platforms: Feedback to CP18/20 and final rules

    Policy statements Published: 04/06/2019 Last modified: 04/06/2019
    This Policy Statement summarises the feedback we received to our Consultation Paper CP18/20, and sets out the final policy positions we have reached, taking into account the feedback we have received. It also contains the final rules which implement

  6. The Financial Conduct Authority (FCA) bans Kweku Mawuli Adoboli from the financial services industry

    Press Releases Published: 15/10/2015 Last modified: 18/11/2021
    Following convictions on 20 November 2012 of two counts of fraud by abuse of position, the Financial Conduct Authority (FCA) has banned Kweku Mawuli Adoboli from performing any function in relation to any regulated financial activity.

  7. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

    Press Releases Published: 13/08/2015 Last modified: 24/03/2020
    Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

  8. Investment advisers’ and authorised firms’ responsibilities when accepting business from unauthorised introducers or lead generators

    News stories Published: 02/08/2016 Last modified: 12/03/2024
    This alert highlights some of the risks arising from authorised firms accepting business from unauthorised introducers/lead generators and other authorised firms.

  9. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

    Press Releases Published: 15/05/2014 Last modified: 22/03/2016
    The Final Notice for Martins. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate.

  10. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

    Press Releases Published: 19/12/2013 Last modified: 30/08/2015
    Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.". ... The Final Notices for JLT Specialty Limited (JLTSL).
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