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Showing 2231 to 2240 of 2368 search results for This Final Notice refers to a failure.

  1. FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures

    Press Releases Published: 20/11/2014 Last modified: 20/11/2014
    The FCA has taken this action against the Banks for failing to put in place resilient IT systems which could withstand, or minimise the risk of, IT failures. ... The final notice for the Banks.

  2. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

    Press Releases Published: 16/06/2014 Last modified: 09/12/2016
    Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures. ... Some of the issues raised in this case will be examined as part of its ongoing work.

  3. FCA fines Prudential £23,875,000 for failures relating to non-advised annuities sales

    Press Releases Published: 30/09/2019 Last modified: 30/09/2019
    The Financial Conduct Authority (FCA) has fined The Prudential Assurance Company Limited (Prudential) £23,875,000 for failures related to non-advised sales of annuities. 

  4. FCA fines CT Capital Ltd for failures related to PPI complaint handling

    Press Releases Published: 01/06/2016 Last modified: 01/06/2016
    Were it not for this discount, the FCA would have imposed a penalty of £2,951,179 on the firm. ... The Final Notice for CT Capital Ltd.

  5. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

    Press Releases Published: 01/02/2016 Last modified: 01/02/2016
    The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

  6. FCA cancels payday lender’s interim permission, bans director and refuses application to conduct regulated business

    Press Releases Published: 13/10/2016 Last modified: 13/10/2016
    The Financial Conduct Authority (FCA) has banned Andrew Barry Hart, the sole director, controller and ultimate owner of Wage Payment and Payday Loans Limited (WPPL), from performing any role in regulated financial services. The FCA has also

  7. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

    Press Releases Published: 22/04/2015 Last modified: 22/04/2015
    The size of the fine – the highest imposed for transaction reporting failures to date - reflects the severity of MLI’s misconduct, failure to adequately address the root causes over several years ... Without this discount the fine would have been £18

  8. Vector Wealth Ltd enters administration

    News stories Published: 22/04/2022 Last modified: 27/04/2022
    We set out the steps Vector Wealth Ltd customers can take and advice on how to protect against scams by fraudsters claiming to be acting on behalf of the administrators.

  9. The expanding scope of individual accountability for corporate misconduct

    Speeches Published: 03/04/2017 Last modified: 05/04/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

  10. AXA fined and reviews investment sales for advice failings

    Press Releases Published: 13/09/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.
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