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Showing 3191 to 3200 of 3286 search results for This Final Notice refers.

  1. Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money

    Press Releases Published: 03/09/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs)

  2. FCA bans Keith Dickinson and Andrew Allen for British Steel Pension Scheme advice failings, with £155k to be paid in compensation

    Press Releases Published: 13/09/2023 Last modified: 13/09/2023
    Keith Dickinson and Andrew Allen of Mansion Park Limited (Mansion Park) have been banned from advising customers on pension transfers and pension opt-outs.

  3. FCA fines Xcap Securities PLC £120,900 for client asset failings and applies new penalty regime

    Press Releases Published: 11/06/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Xcap Securities PLC (Xcap), a retail investment and capital markets business, £120,900 for failing to adequately protect client money and client assets. This is the first client asset case the FCA has

  4. CP14/5: Changes to regulatory reporting: Adviser and consultancy charging, Authorised Professional Firms (APFs) and Product Sales Data (PSD)

    Consultation papers Published: 07/03/2014 Last modified: 30/08/2015
    We will consider the feedback received and publish a Handbook Notice policy statement in late 2014. ... For more information:. view theradios. Yes. No. What can we do to improve pages like this?

  5. Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling

    Press Releases Published: 14/04/2015 Last modified: 30/09/2016
    This is the largest ever fine imposed by the FCA for failings relating to PPI. ... The final notice for Clydesdale Bank Plc.

  6. FCA to ban the promotion of UCIS and certain close substitutes to ordinary retail investors

    Press Releases Published: 04/06/2013 Last modified: 03/11/2016
    The Financial Conduct Authority (FCA) has published final rules to ban the promotion of Unregulated Collective Investment Schemes (UCIS) and certain close substitutes (together to be known as Non-Mainstream Pooled Investments (NMPIs)) to the vast

  7. JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades

    Press Releases Published: 19/09/2013 Last modified: 19/09/2013
    What is worse, they compounded this by failing to be open and co-operative with us as their regulator. ... Final Notice for JP Morgan Chase Bank NA.

  8. Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules

    Press Releases Published: 17/06/2015 Last modified: 17/06/2015
    Were it not for this discount the FCA would have imposed a financial penalty of £6,644,641. ... This is the second final notice issued in relation to a listed company’s failure to comply with the Listing Rules applicable to related party transactions.

  9. FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud

    Press Releases Published: 17/12/2007 Last modified: 08/11/2016
    The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in

  10. FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings

    Press Releases Published: 11/03/2024 Last modified: 11/03/2024
    The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840.
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