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Showing 3211 to 3220 of 3286 search results for This Final Notice refers.

  1. AIM Investment Company fined for failing to disclose inside information as soon as possible

    Press Releases Published: 14/12/2017 Last modified: 14/12/2017
    The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR).  This is the first fine the FCA has

  2. FCA fines insurance broker JLT Specialty Limited £7.8m for financial crime control failings

    Press Releases Published: 22/06/2022 Last modified: 22/06/2022
    We have fined JLT Specialty Limited (JLTSL) £7,881,700 for financial crime control failings.

  3. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

    Press Releases Published: 23/04/2015 Last modified: 24/04/2015
    This misconduct went unchecked because of Deutsche Bank’s inadequate systems and controls. ... The Final Notice for Deutsche Bank.

  4. CP22/5: Proposed changes to allow companies to use a more up to date electronic format for their annual financial reports

    Consultations Consultation papers Published: 25/03/2022 Last modified: 18/08/2022
    We propose to change the definition of UKSEF 2022 in Article 2(4B) of the Transparency Directive (TD) ESEF Regulation so that it refers to UKSEF 2022 v2.0.0 instead of v1.0.0.

  5. Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money

    Press Releases Published: 09/10/2014 Last modified: 29/11/2021
    The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in

  6. Productive finance working group publishes recommendations addressing the barriers to investment in less liquid assets

    Press Releases Published: 27/09/2021 Last modified: 27/09/2021
    The Productive Finance Working Group has today published a series of recommendations which could facilitate greater investment in longer-term, less liquid assets. The Group is industry led, co-chaired by the Governor of the Bank, the Chief Executive

  7. Fair, transparent and competitive: the FCA’s vision for the asset management sector

    Speeches Published: 30/10/2013 Last modified: 30/10/2013
    Speech by Clive Adamson, FCA Director of Supervision, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  8. FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading

    Press Releases Published: 06/05/2021 Last modified: 06/05/2021
    We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering.

  9. FCA proposes rules on investment pathways and other measures to improve retirement outcomes for consumers

    Press Releases Published: 28/01/2019 Last modified: 29/01/2019
    The Financial Conduct Authority (FCA) is today consulting on measures to stop up to 100,000 consumers a year losing out on pension income when they access the pension freedoms.

  10. FCA fines Lloyds Bank, Bank of Scotland and The Mortgage Business £64,046,800 for failures in mortgage arrears handling

    Press Releases Published: 11/06/2020 Last modified: 11/06/2020
    The FCA has fined Lloyds Bank, Bank of Scotland and The Mortgage Business £64,046,800 for failures in mortgage arrears handling. The banks estimate they will have paid £300 million in customer redress. The redress programme is nearly complete.
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